Forms Incorporated by Reference to Division of Securities Rules

Rule 69W-302.001

Application for Payment from the Securities Guaranty Fund, Form OFR-SGFund; Assignment of Right, Title and Interest in Final Judgment or Restitution Order in Connection with Recovery from Securities Guaranty Fund, Form OFR-SGFund-A

Rule 69W-500.019

Notice of Transaction Under Florida Accredited Investor Exemption, Form OFR-FAIE (08-25)

Rule 69W-500.020

Notice of Transaction Under Florida Invest Local Exemption, Form OFR-FILE (08-25)

Rule 69W-600.001

Uniform Application for Broker-Dealer Registration, Form BD (5/2023)

Uniform Application for Securities Industry Registration or Transfer, Form U4 (05/2009)

Uniform Request for Broker Dealer Withdrawal, Form BDW (04/2007)

Uniform Branch Office Registration Form, Form BR (04/2014)

Uniform Termination Notice for Securities Industry Registration, Form U5 (05/2009)

Rule 69W-600.0012

Uniform Application for Broker-Dealer Registration, Form BD (5/2023)

Uniform Application for Securities Industry Registration or Transfer, Form U4 (05/2009)

Uniform Request for Broker Dealer Withdrawal, Form BDW (04/2007)

Uniform Branch Office Registration Form, Form BR (04/2014)

Uniform Termination Notice for Securities Industry Registration, Form U5 (05/2009)

Rule 69W-600.0015

OFR Form CAN (9/2015)

Rule 69W-600.0016

Uniform Application for Broker-Dealer Registration, Form BD (5/2023)

Uniform Application for Securities Industry Registration or Transfer, Form U4 (05/2009)

Uniform Request for Broker Dealer Withdrawal, Form BDW (04/2007)

Uniform Branch Office Registration Form, Form BR (04/2014)

Uniform Termination Notice for Securities Industry Registration, Form U5 (05/2009)

Rule 69W-600.0017

Uniform Application for Investment Advisor Registration, Form ADV (08/2022)

Uniform Application for Securities Industry Registration or Transfer, Form U4 (05/2009)

Notice of Withdrawal from Registration as Investment Adviser, Form ADV-W (07/2017)

Uniform Termination Notice for Securities Industry Registration, Form U5 (05/2009)

Rule 69W-600.0018

Notice of Florida Limited Offering Pursuant to Section 517.0611, Florida Statutes, Form FLO

Preparing a Disclosure Statement for a Florida Limited Offering Pursuant to Section 517.0611, F.S., Supplement FLO

Rule 69W-600.0016

Uniform Application for Broker-Dealer Registration, Form BD (5/2023)

Uniform Application for Securities Industry Registration or Transfer, Form U4 (05/2009)

Uniform Request for Broker Dealer Withdrawal, Form BDW (04/2007)

Uniform Branch Office Registration Form, Form BR (04/2014)

Uniform Termination Notice for Securities Industry Registration, Form U5 (05/2009)

Rule 69W-600.0017

Uniform Application for Investment Advisor Registration, Form ADV (08/2022)

Uniform Application for Securities Industry Registration or Transfer, Form U4 (05/2009)

Notice of Withdrawal from Registration as Investment Adviser, Form ADV-W (07/2017)

Uniform Termination Notice for Securities Industry Registration, Form U5 (05/2009)

Rule 69W-600.0019

Registration of Florida Limited Offering Intermediary Application, FLO-INT (10/2024)

Rule 69W-600.002

Office of Financial Regulation Active Military Member/Veteran/Spouse Fee Waiver and Military Service Verification, Form OFR-MIL-001 (10/2024)

Uniform Application for Securities Industry Registration or Transfer, Form U4 (05/2009)

Uniform Termination Notice for Securities Industry Registration, Form U5 (05/2009)

Rule 69W-600.0022

Office of Financial Regulation Active Military Member/Veteran/Spouse Fee Waiver and Military Service Verification, Form OFR-MIL-001 (10/2024)

Uniform Application for Securities Industry Registration or Transfer, Form U4 (05/2009)

Uniform Termination Notice for Securities Industry Registration, Form U5 (05/2009)

Rule 69W-600.0024

Office of Financial Regulation Active Military Member/Veteran/Spouse Fee Waiver and Military Service Verification, Form OFR-MIL-001 (10/2024)

Uniform Application for Securities Industry Registration or Transfer, Form U4 (05/2009)

Uniform Termination Notice for Securities Industry Registration, Form U5 (05/2009)

Rule 69W-600.0031

Uniform Branch Office Registration Form, Form BR (04/2014)

Rule 69W-600.0032

Uniform Branch Office Registration Form, Form BR (04/2014)

Rule 69W-600.0034

Uniform Branch Office Registration Form, Form BR (04/2014)

Rule 69W-600.013

Florida Guide to Small Business Investments, OFR-S-13-97 (3/2024)

69W-600.0132

Uniform Application for Investment Adviser Registration, Form ADV (08/2022)

Certificate of Accounting of Client Securities and Funds in Possession or Custody of an Investment Adviser Pursuant to Rule 206(4)-2 [17 CFR 275.206(4)-2], Form ADV-E (01/2013)

Rule 69W-600.0141

Notification of Delay of Disbursement/Transaction from Account of Specified Adult, effective, Form OFR-DLY (01/2021)

Rule 69W-600.0151

SEC Form X-17A-5 Part IIA (FOCUS Report) (11/2018)

Rule 69W-700.001

Application for Registration of Securities, Form OFR-S-1-91 (10/2024)

SCOR (Small Corporate Offering Registration) Application to Register Securities, Form OFR-S-12-97 (10/2024)

Exhibit 1 (General Issue), OFR-S-7-91 (10/2024)

Uniform Consent to Service of Process, Form U-2 (6/2016)

Rule 69W-700.002

Small Corporate Offering Registration, Form U-7 (Rev. 5-19-2019)

Rule 69W-800.001

Uniform Application to Register Securities, Form U-1 (04/17/23)

Uniform Consent to Service of Process, Form U-2 (06/16)

Rule 69W-800.003

Uniform Application to Register Securities, Form U-1 (04/17/23)

Rule 69W-900.001

Disclosure of Business Activities in Cuba Form, CUBA FORM (11/22/2010)

Rule 69W-1000.001

Office of Financial Regulation Disciplinary Guidelines for Chapter 517, Florida Statutes (F.S.) and Division 69W, Florida Administrative Code (F.A.C.)