Information Request Name____________________________________________________________ Date __________ Company_________________________________________________________ Initials ________ Address__________________________________________________________ Phone ________________________ _____________________________________________________________ FAX __________________________ Securities Washington Securities Act (RCW) WAC Booklet — Chapter No.(s) __________________ Registrations Coordination Application (U-1) Qualification Application Quasi-Government Bond Application Mortgage Paper Securities Application Mortgage Sample Specific Offering Circular Exemptions Form D— Reg D Rules 504,505, or 506 Notice of Exemption— Rules 504 & 147 Report of Sales— Rules 504,505, 506, or CLOE Small Business CLOE Form . . . . . . . SCOR Form . . . . . . Paper Issuer’ Manual . . . . s Disk Word 6 Disk (WP5.) Paper Word 6 Disk WP 5.1 Mailed ________ Return Policy and Interpretive Statements Consent to Service of Process (U-2) Stock Escrow Agreement Impound Report Form Quarterly Report Form Quarterly Report Form - Deb. Co Sample Offering Circular: General Limited Partnership Guidelines on “ Offered to the Public” Notice of Exemption— Non-Profit Notice of Exemption— Co-op/Mutual Assns. Options for Small Business in the Securities Market Small Business Packet (So You Want to go Public) Disk Word 6 Broker-Dealer Broker-Dealer Application Packet Form BD-W U-5 Agent Termination U-4 Salesperson U-10 Exams Investment Adviser Investment Adviser Application Packet Form ADV-W Franchise Franchise Investment Protection Act & Rules Franchise Registration Application Packet Surety Bond (see CCH Business franchise Guide ¶5835) Commodity Commodity Transactions Act (RCW) Commodity Broker-Dealer Registration Application Business Opportunity Business Opportunity Fraud Act (RCW) Business Opportunity Registration Application Complaint Form Enforcement-Inquiry Broker-Dealer Other Public Records Request NASAA Policy on ______________________________ REIT Church Bonds Options & Warrants Affiliated Transactions Promotional Shares Other American LegalNet, Inc. www.USCourtForms.com American LegalNet, Inc. www.USCourtForms.com