South Carolina Broker-Dealer Instruction/Check List for Registration and Renewals

Address:
Office of the Attorney General
Securities Division
Rembert C. Dennis Office Building
1000 Assembly Street
Columbia, SC 29201

NASD Member Firms:

Submit all applications, fees and exhibits to the CRD except:

AUDITED FINANCIAL STATEMENT

This item must be sent to our office.

**the firm should also be registered in its homestate**

NON-NASD Member Firms or South Carolina Broker-Dealers:

Submit all of the following to our office:

1. Broker-Dealer Application Form B-D
2. $310.00 Application Fee
3. Consent to Service Form U-2
4. Broker-Dealer Bond
5. Audited Financial Statement
6. Charter or Partnership Agreement
7. By-Laws, if applicable
8. Agent application Form U-4
9. Proof(s) of Passing Exams
10. $110.00 Agents Fee
11. Proof of SLED records check

***Financial reports are due within 60 days of the firms' fiscal year end.***

Regulations

Examinations
Canada Exemptions
CRD
Criminal Records
Miscellaneous Broker-Dealer Requirements
Dishonest or Unethical Practices