Dealer Requirements: All Broker/Dealer applicants who are eligible must apply for initial registration in Tennessee through the CRD System by using Form BD and a filing fee of $200.

Filing Fees: .1% of the maximum aggregate offering price at which the registered securities are to be offered in this state. The fee shall be no more than $1,000 nor will it be less than an amount determined by the Securities Commissioner.

Forms: Registration by qualification requires that Forms U-1, U-2, and U-7 be completed. Form U-2A should be completed if applicable.

Regulatory Contact:

Contact:
Securities Division /Volunteer Plaza

Address:
500 James Robertson Parkway
Nashville TN 37243-0485

Phone:
(615) 741-2947

Fax:
(615) 741-2947
Securities.1@state.tn.us (e-mail)
http://www.state.tn.us/commerce/securdiv.html (website)

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