The following forms constitute compliance with Section 35-1-611(a) of the South Carolina Uniform Securities Act of 2005:

1. A. For broker-dealers, a fully executed Execution Page of the Form BD, Uniform Application for Broker-Dealer Registration;
2. B. For investment advisers, a fully executed Execution Page of the Form ADV, Uniform Application for Investment Adviser Registration;
3. C. For agents and investment adviser representatives, a fully executed Form U-4, Uniform Application for Securities Industry Registration or Transfer;
4. D. For any offer or sale of securities made in compliance with Rules 501 through 508 of SEC Regulation D under the Securities Act of 1933, a fully executed Form D, Notice of Exempt Offering of Securities;
5. E. For any offer or sale made in compliance with R. 13-309 and Tier 2 of federal Regulation A under the Securities Act of 1933, a fully executed Uniform Notice of Regulation A—Tier 2 Offering filing form; and
6. F. For other filings, a fully executed Form U-2, Uniform Consent to Service of Process or such other form acceptable to the Securities Commissioner.

HISTORY: Added by State Register Volume 30, Issue No. 6, eff June 23, 2006; State Register Volume 39, Issue No. 6, Doc. No. 4525, eff June 26, 2015; SCSR 44-6 Doc. No. 4912, eff June 26, 2020.