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.

More Information

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

Department: Attorney General

Division: Investor Protection

Application Form

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

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.