February 13, 1992
TO: STATE SECURITIES MEMBERS NO. 6-92
UNIT INVESTMENT TRUST MEMBERS NO. 11-92
RE: REVISED FORMS U-1, U-2 AND U-2A
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At the 1991 NASAA Fall Conference, the NASAA membership
adopted amendments to the Uniform Consent to Service of Process
(Form U-2). The primary change to Form U-2 is that it now
includes a listing of all of the states' designated officers for
receipt of service of process and requests that the applicant
mark each state in which it has filed this consent to service of
process. The Uniform Form to Register Securities (Form U-1) and
Uniform Resolution (Form-2A) are revised in format. Attached are
copies of the revised uniform forms which should be used in
applying for the registration of securities in the various
states.
The revised forms will be included in the next updates for
the Institute's Blue Sky Guide and Investment Advisers Guide.
Susan S. Burgess
Legal Assistant
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