South Carolina Code of Regulations
Chapter 13 - ATTORNEY GENERAL
Article 2 - SECURITIES
Subarticle 6 - ADMINISTRATION AND JUDICIAL REVIEW
Section 13-603 - Consents to Service of Process
Current through Register Vol. 48, No. 9, September 27, 2024
The following forms constitute compliance with Section 35-1-611(a) of the South Carolina Uniform Securities Act of 2005:
A. For broker-dealers, a fully executed Execution Page of the Form BD, Uniform Application for Broker-Dealer Registration;
B. For investment advisers, a fully executed Execution Page of the Form ADV, Uniform Application for Investment Adviser Registration;
C. For agents and investment adviser representatives, a fully executed Form U-4, Uniform Application for Securities Industry Registration or Transfer;
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;
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
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.
