Agent of a Broker-Dealer Registration Requirements

1. File a Form U-4 with the CRD

Applications to be registered as an agent of a broker-dealer must be submitted directly to the CRD system on a Uniform Application for Securities Industry Registration or Transfer Form (Form U4).

2. Registration Fee

A fee of seventy-five dollars ($75.00) is required for filing an application. The fee is submitted through the CRD system along with any other fee required by FINRA.

3. Examination Requirements a. Pass the appropriate state law examination. b. Pass the appropriate general knowledge examination.

NASAA web: http://www.nasaa.org/industry___regulatory_resources/exams

4. Additional Requirements – If requested

Any other information not specifically required by the Arkansas Securities Act and Rules of the Securities Commissioner that the Commissioner may reasonably require, including, but not limited to, copies of any litigation, regulatory proceedings, and customer complaints.

5. Fingerprints

All applicants must submit a legible set of fingerprints to the CRD system that will be processed by the Federal Bureau of Investigation.

6. Notification

Firms must check with the CRD to verify the approval date of agent.