BD- South Carolina Broker-Dealer Surety Bond Form

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The SC Broker-Dealer Surety Bond Form is a representation that a broker-dealer must be authorized to transact business in the State of South Carolina under Regulation 13-406.  The purpose of the Surety Bond is to ensure that a broker-dealer adheres to the minimum capital and bonding requirements in the State of South Carolina.  The Surety Bond protects broker-dealer clients from financial loss should the broker-dealer fail to adhere to the terms of the surety bond.  Members also downloaded South Carolina Broker-Dealer Registration Requirements Checklist.

Version/Update: V.U/March 2020

Total Page Count/Format: 4/.pdf

Source/Author(s): SC Attorney General Securities Division