Dealer Requirements: Non-NASD applicants should complete a Form BD marked "application" with an original execution page. A $200 application fee must also be paid.

Filing Fees: 1/10th of 1% of the dollar amount to be registered The fee shall be no less than $150.00 and no more than $1,000.

Official Recognition: Yes, by qualification.

Forms: Applicant must submit an Application for Registration by Qualification (U-1), U-2, U-2A and U-7.

Regulatory Contact:

Contact:
Securities Division

Address:
P.O. Box 136
Jackson MI 93205

Phone:
(601) 359-6364

Fax:
(601) 359-2894
lscott@sos.state.ms.us (e-mail)
http://www.sos.state.ms.us/regenf/securities/securities.asp(website)

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