Official Recognition: Yes

Sales Agent Requirements: Agents must register with the State of California using a U-4 Form and passing the Series 63 Examination. If there the dealer is to receive a commission, the issuer must post a $10,000 surety bond.

Registration Fees for Securities: To register by qualification, a fee of $2,500 must be paid. An additional fee may be assessed, but this fee shall not exceed $1,000.

Regulatory Contact:

Contact:
Brian Thompson, Department of Corporations

Address:
3700 Wilshire Blvd., Suite 600
Los Angeles CA 90010

Phone:
(213) 736-3482

Fax:
(213) 736-3582

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