Agent of Issuer Registration Instructions
Note: All Agent of the Issuer registrations expire annually at midnight on the 31st day of December unless renewed.
- Agent of the Issuer Initial Registration
- 21 VAC 5-20-160 requires an applicant applying for initial registration as an agent of an issuer with the Commission to file the following information with its Division of Securities and Retail Franchising:
- a completed Form U-4;
- a statutory fee of $40 made payable to the “Treasurer of Virginia”;
- evidence in the form of a NASD exam report of passing: (i) the Uniform Securities Agent State Law Examination, Series 63; (ii) the Uniform Combined State Law Examination, Series 66, and the General Securities Representative Examination, Series 7; or (iii) a similar examination in general use by securities administrators which, after reasonable notice and subject to review by the commission, the Director of the Division of Securities and Retail Franchising designates; and
- any other information the Commission may require.
- Agent of the Issuer Post-registration Reporting
- Agent of Issuer Registration Renewal