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

FINRA Member Firms:

Submit all applications, fees and exhibits to the CRD.

For Initial Registration

Please provide audited financial statements to the Securities Division at the address indicated above.

For Renewals

Audited financial statements are not required, unless requested by the Securities Division.

NON-FINRA 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

Regulations

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