BD- South Carolina Broker-Dealer Registration Requirements Checklist
BD- South Carolina Broker-Dealer Registration Requirements Checklist
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The SC Broker-Dealer Registration Requirements Checklist highlights the steps necessary to register as a broker-dealer in the State of South Carolina. The Checklist also details the licensing requirements and the steps required for filing electronically utilizing the FINRA Web CRD system. Members also downloaded South Carolina Broker-Dealer Surety Bond Form.
Version/Update: V.U/March 2020
Total Page Count/Format: 2/.pdf
Source/Author(s): SC Attorney General Securities Division