Dealer Requirements: Any person who is a member of the NASD who wishes to transact business in the State of New Jersey must fill out a Form BD and Form U-4 with the State of New Jersey. The required registration fee shall be submitted with the application filed with the CRD in the amount of $250.00 for each year of the two year registration totaling $500.00. A person desiring to do business who is not a member of the NASD or who is not otherwise eligible to register via the CRD shall file all the information required by NJAC 13:47A-1.1. A registration fee must be paid to the State of New Jersey Bureau of Securities for the amount of $500.00 plus $10.00 for each officer, director or partner doing business in the State of New Jersey.

Filing Fees: A fee of $1,000 will be assessed to the registration of all securities.

Official Recognition: Yes

Forms: Forms U-1, U-2, U-2A, U-7 and NJBOS-5 (New Jersey Addendum to Registration Statement) are needed to complete the registration.

Regulatory Contact:

Contact:
Bureau of Securities

Address:
153 Halsey Street, 6th Floor
Newark NJ 07101

Phone:
(201) 504-3630

Fax:
(201) 504-3631

Email:
PublicAffairs@dobi.state.nj.us

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