Securities and Investment Firms, Brokers, and Agents
Firms, brokers, and agents selling securities must follow the Delaware Securities Act, Chapter 73 of the Delaware State Code and register with the Delaware Attorney General's Office
A broker-dealer, agent, investment adviser or investment adviser representative may obtain an initial registration by filing with the Director of the Investor Protection Division an application together with a consent to service of process pursuant to § 73-702 of the Delaware Code.
Department: Attorney General
Division: Investor Protection
Find more information on the Delaware Attorney General's site: http://attorneygeneral.delaware.gov/fraud/ipu/industryprof.shtml
Applicable Rules and Regulations
This search covers most of the frequently requested licenses, certifications, registrations, and filings that the State of Delaware requires. However, this is not a fully exhaustive list of every possible requirement. Please consult with the appropriate state agencies to find out if there are additional requirements you must fulfill.