Dealer Requirements: Issuers may sell securities and no registration is needed if no commission is accepted. If there will be a commission accepted then the issuer must be registered with the state as an agent and pass the Series 63 Exam.

Filing Fees: $500

Official Recognition: Yes

Forms: U-1, U-2, U-2A, U-7

Regulatory Contact:

Contact:
Securities Division

Address:
P.O. Box 11549
Columbia SC 29211-1549

Phone:
(803) 734-9916

>Back to Small Cap Registration Guide