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Delaware Business First Steps

Index of State of Delaware Business Licenses and Registrations

 Pages Tagged With: "Delaware Securities Act"

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 […]

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