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Investment Adviser Representative Examination Affidavit. 3. Have you obtained a passing score on the Uniform Investment Adviser Law Examination (Series.A. Applicant understands that each investment adviser registered in the State of Illinois must have at least one examination-qualified. Three forms are necessary for submission to FINRA in order to obtain entitlement approval. It is the responsibility of the primary examiner to personally review and decide whether affidavits or declarations under 37 CFR 1. State registered investment advisers will file the following directly with the North Dakota Securities Department: An Affidavit of Investment Advisory Activity. The applicant must also complete an application form described in (2). Form NumberForm NameCategoryAO 10AFinancial Disclosure Report RequestOther FormsAO 30Certified CopyOther FormsAO 35Certificate of Official Court ReporterCourt Reporter Forms Proof of compliance with written examination requirements. 3. DSC Risk Management Manual of Examination Policies. 8.