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South Carolina Broker-Dealer Surety Bonds

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The South Carolina Attorney General, Legal Securities Division, oversees Broker-Dealer registration. The Division ensures that broker-dealers follow securities rules and regulations, protects consumers against fraud and unethical practices, and is compliant in investor education. The South Carolina Uniform Securities Act of 2005 provides details of broker-dealer registration process.

Surety Bond and Registration Requirements:

  1. Payment of a filing fee and complete application FINRA Form B-D.
  2. Submit an audited financial statements.
  3. Complete the Consent to Service Form U-2.
  4. Obtain a $50,000 surety bond if business is conducted in South Carolina and does not make use of the a national securities exchange and is not registered under Section 15 of Securities Exchange Act of 1934.
  5. Provide a copy of the company charter or partnership agreement.
  6. Registration renews annually on December 31.
  7. Provide a copy of the by-laws (if any).

How Much Will This Bond Cost?

The premium that you pay for a South Carolina Broker-Dealer Surety Bond is dependent on credit.

Related Links:

South Carolina Broker-Dealer Registration Instruction Checklist
FINRA Broker-Dealer Registration

More Surety Bond Questions?

Check out our FAQ page or What’s a Surety Bond? page. Should you need or choose to buy a surety bond, buy from us. SuretyGroup.com has been underwriting surety bonds throughout the U.S. for more than 35 years. When you work with us, you enjoy the unique benefit of dealing with a team of highly experienced surety agents with in-house underwriting authority. This allows you to receive competitive, low rates, quick approvals, and immediate bond delivery. In most cases, your bond will be delivered within 24 hours after you apply for it.

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For a downloadable application