Dealer Requirements: Must be a registered dealer in the State of Iowa. Applicant must complete a U-4 Form and pay a filing fee of $200.

Filing Fees: $250 for registration and a $100 additional filing fee for SCOR applicants.

Official Recognition: Yes

Forms: SCOR Form U-7 as well as U-1, U-2.

Instructions: Every potential SCOR Form U-7 applicant is encouraged to ask for a pre-filing conference with the Bureau. This meeting will clear up any misunderstandings and help avoid any pitfalls in the application procedure. It should also speed up the application process. To set up a meeting contact the Securities Bureau at the below address.

Date Last Modified: 1/27/97

Contact:
Iowa Securities Bureau

Address:
340 Maple St.
Des Moines, IA 50319-0066

Phone:
515-281-4441

Fax:
515-281-3059

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