South Carolina Broker-Dealer Instruction/Check List for Registration and Renewals
Address:
Office of the Atthorney 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:
- Broker-Dealer Application Form B-D
- $300.00 Application Fee
- Consent to Service Form U-2
- Broker-Dealer Bond
- Audited Financial Statement
- Charter of Partnership Agreement
- By-Laws, if applicable
- Agent application Form U-4
- Proof(s) of Passing Exams
- $100.00 Agents Fee
- Proof of SLED records check
***Financial reports are due within 60 days of the firms' fiscal year end.***
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