Registration of Investment Advisors, Financial Planners

Checklist
Investment Adviser Firms - Frequently Asked Questions
Investment Adviser Representatives - Frequently Asked Questions
Surety Bond Form
South Carolina Law Enforcement Division Criminal Records History
Form U4
Verification Form
Examination Overview

Regulations
Examinations
CRD/IARD
Criminal Records
Minimum Capital and Bonding
Cash or Security Deposits in Lieu of Bond
Record Keeping Requirements
Dishonest or Unethical Practices
Advertising Filing