6 Del. Admin. Code § 200-F-602

Current through Register Vol. 28, No. 5, November 1, 2024

Section 200-F-602 - Registration of Issuer Agents

(a) A person applying for a license as an issuer agent in Delaware shall make application for such license on Form U-4 (Uniform Application for Securities Industry Registration or Transfer). Amendments to such application shall also be made on Form U-4.

(b) An applicant for registration as an issuer agent shall file his or her application and the fee required by the Act with the Director, together with such further information as the Director may reasonably require.

(c) Any applicant for an issuer agent license must also successfully complete the Uniform Securities Agent State Law Examination (Series 63 or 66) administered by FINRA.

6 Del. Admin. Code § 200-F-602

1 DE Reg. 1978 (6/1/98)
15 DE Reg. 529 (10/01/11)
18 DE Reg. 394 (11/1/2014) (Final)