Dealer Requirements: Broker-Dealer applications are filed with the CRD for a filing fee of $250 with form BD. Applicants must prove that they have passed the Series 63 Exam.

Filing Fees: 1/20 of 1% of the amount of securities offered in Indiana with a $250 minimum and a $500 maximum.

Official Recognition: Yes

Forms: Form U-7 allowed for SCOR filing under registration by qualification

Instructions: There is a certain set of universal criteria that U-7 applicants must abide by.Along with submission of Form U-7, Forms U-1, U-2, U-2A and other specified exhibits must also be submitted. Please be advised that all the reporting standards required in 710 IAC 1-12 for registered offerings also apply to SCOR offerings. After an offering has been registered on the state level, the federal SEC requires a filing of Form D.

Filing Kit: The Form U-7 can be obtained from the Indiana Securities Division at the below address for a charge of $10.

Date Last Modified: 1/27/97

Regulatory Contact:

Contact:
Securities Division

Address:
302 West Washington Street, Room E-111
Indianapolis IN 46204

Phone:
(317) 232-6687 OR 1-800-223-8791

>Back to Small Cap Registration Guide