Dealer Requirements: Officers/Directors can earn commission only if they register as an issuer. To register, one must file with the state and must pay a $125 filing fee and complete the Series 63 Exam.

Filing Fees: On the first $500,000 of the total proposed sale price of the securities, the sum of $1.00 per $1,000. All registrations over $500,000, the sum of $500, plus $.75 per $1,000 of excess over $500,000. The minimum fee is $100.

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

Regulatory Contact:

Contact:
Division of Securities

Address:
118 West Capital Pierre
SD 57501-3940

Phone:
(605) 773-4823

Fax:
(605) 773-5953
secur@crpr1.state.sd.us (e-mail)
http://www.state.sd.us/dcr/securities/ (website)

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