Dealer Requirements: An issuer-agent must file a Form U-4 and Form ACF(I) along with a $50 filing fee, accompanied by an application to register securities.

Official Recognition: Yes

Forms: Forms U-1, U-2, U-2A and U-7 are needed to complete application process.

Instructions: U-7 applicants are advised by the Securities Division to set up a planning meeting with an agent with the division to facilitate the application process.

Regulatory Contact:

Contact:
Massachusetts Securities Division

Address:
John W. McCormack Building, One Ashburton Place, Room 1701
Boston MA 02108

Phone:
(617) 727-3548

Web Site:
http://www.state.ma.us/sec/sct/sctcon.htm

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