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Consumer Protection

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 ยง 73-702 of the Delaware Code.

More Information

https://attorneygeneral.delaware.gov/fraud/cpu/

Department: Attorney General

Division: Investor Protection

Application Form

Find more information on the Delaware Attorney General's site: https://attorneygeneral.delaware.gov/fraud/cpu/

Applicable Laws

http://delcode.delaware.gov/title6/c073/

Applicable Rules and Regulations

http://regulations.delaware.gov/AdminCode/title6/Fraud/200/

Contact

Investor Protection Division can be contacted by email at Investor.Protection@state.de.us and by phone at 302-577-8424.

Notice

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.

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