Dealer Requirements: Issuers may register as an agent. To do so a U-4 Form must be completed and a filing fee of $35 must be paid.

Filing Fees: For initial and renewal registrations, 1/10 of 1% of the maximum aggregate offering price at which the registered securities are to be offered in the State of Maryland. The fee shall not be less than $500 or more than $1,500.

Official Recognition: Yes

Forms: SCOR applicants should complete a U-1, U-2 and a U-7 Form.

Date Last Modified: 1/24/97

Regulatory Contact:

Contact:
Securities Division

Address:
200 Saint Paul Place 20th Floor
Baltimore MD 21202-2020

Phone:
(410) 576-7045

Fax:
(410) 576-6535

http://www.oag.state.md.us/Securities/ (website)
echerry@oag.state.md.us (e-mail)

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