Dealer Requirements: Must be registered with the State of West Virginia. A U-4 Form must be completed and have proof of passage of the Series 63 Exam. A $250 registration fee must also be paid.

Filing Fees: 1/20th of 1% of the aggregate amount being registered in West Virginia, with a $50 minimum and a $1500 maximum.

Official Recognition: Yes

Forms: U-1; U-2A; U-2; Registration Statement; Offering Memorandum; or Offering Circular; or U-7.

Instructions: Applicants must name the West Virginia Broker-Dealer who will be handling the issue.

Regulatory Contact:

Contact:
Securities Division

Address:
State Capitol Building Room W100
Charleston WV 25305

Phone:
(304) 558-2251
Fax:
(304) 558-5200
Email:
securities@wvauditor.com (e-mail)
Website:
http://www.wvauditor.com

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