203-O
Proxy Materials under Section 203(o)

203-P
Debt Securities of Nonprofits under Section 203(p)

207-J
Continuation of Section 205 Registration

Form 209
Report on use of proceeds

Form 210
Retroactive Registration of Investment Company Securities

SEC Form D
Notice of Sale of Securities Pursuant to Regulation D, Section 4(5),
and/or Uniform Limited Offering Exemption

For 506 Filings, please submit a cover letter indicating your reliance on section 211(b)
of the 1972 Act, a copy of the Form D that was filed with the SEC and a check made
out to “Commonwealth of Pennsylvania” in the amount of $525.

Form E
Exemptions under Sections 203(d), 203(s), 203(t)

Form R
Securities Registration Form
Note: The department will only require the following issuers to file Form R:
Issuers relying on SEC Regulation A and filing under either Section 205 or 206
Issuers relying on Rule 504 of SEC Regulation D and filing under Section 206.
Issuers relying on Section 3(a)(4) of the 1933 Act and filing under Section 206.
Issuers relying on Section 3(a)(11) of the 1933 Act and filing under Section 206.

Form U-1

Form U-7
Small Company Offering Registration Form

NF
Uniform Investment Company Notice Filing

RO
Rescission Offer. Request for waivers of procedures under Regulation 504.060(b)

SOI

SOI Supplement

TDL-1
Takeover Disclosure Law

Prospectus Guidelines

Finance Company Debt Securities Guidelines

Corporate Equity Guidelines