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.*** back to top  |  back to educate yourself