North Carolina securities dealer registration is the process every firm must complete to legally sell or trade securities in the state, and the main document is the Uniform Application for Broker-Dealer Registration (Form BD), filed with the North Carolina Secretary of State Securities Division under N.C. Gen. Stat. Chapter 78A. The rule is simple but strict: under N.C. Gen. Stat. § 78A-36, it is unlawful to do business as a securities dealer in North Carolina unless you are registered or exempt.
Most firms file Form BD electronically through FINRA’s Central Registration Depository, the same system that handles federal and multi-state filings. Getting one box wrong can stall your firm for weeks. North Carolina charges a $200 dealer filing fee under N.C. Gen. Stat. § 78A-37(b), and a single mismatched name or missed disclosure can trigger a deficiency notice that holds your whole application.
Here is what you will learn in this guide:
- 📋 What Form BD is, who must file it, and the exact statute that requires it.
- 🗂️ The documents, ID numbers, and records to gather before you open the form.
- ✍️ A line-by-line walkthrough of every key item, schedule, and box on Form BD.
- 👥 Three real filing scenarios that show what firms enter from start to finish.
- ⚠️ The most common mistakes that get applications rejected and how to dodge them.
What the Form Is and Who Must File It
Form BD is the Uniform Application for Broker-Dealer Registration. It is a national form approved by the SEC, FINRA, and state regulators, and North Carolina accepts it as the application to register as a dealer in the state. A dealer is any person or firm in the business of buying or selling securities for its own account or for the accounts of others. When a firm files Form BD through the Central Registration Depository (CRD), that one filing can satisfy the SEC, FINRA, and North Carolina at the same time.
Under N.C. Gen. Stat. § 78A-36, no firm may transact securities business in North Carolina without registering as a dealer, unless an exemption applies. The agency that receives and reviews the filing is the North Carolina Securities Division, part of the Secretary of State’s office. The statute that requires the form is Chapter 78A, the North Carolina Securities Act, and the rules that fill in the details live in 18 NCAC 06A.
Who must file? Any firm that wants to act as a broker-dealer with North Carolina customers. This includes a brand-new FINRA-member firm, an out-of-state firm expanding into North Carolina, and a firm that is not a FINRA member but still sells securities to North Carolina residents. The penalty for skipping registration is serious. Operating as an unregistered dealer can lead to civil fines, rescission of trades, and even criminal charges under N.C. Gen. Stat. § 78A-56. The form solves a clear problem: it gives the state a verified record of who is selling securities, so investors are protected and bad actors are screened out.
One common misconception is that registering a firm also registers its salespeople. It does not. Each agent files a separate Form U4, and the firm files Form BD. The two are linked in CRD but are not the same filing.
Before You Start: Documents and Information You Need
Form BD asks for a deep level of detail about your firm, its owners, and its history. Gather everything first, because a missing item is the top reason applications stall. Open the form only after you have this full pile in front of you.
Here is your pre-filing checklist:
- Firm’s legal name and any trade names. The name must match your formation documents exactly, or CRD will flag a mismatch and hold the filing.
- CRD number (or new-firm entitlement). A new firm needs FINRA system access first; without CRD entitlement, you cannot file Form BD at all.
- IRS Employer Identification Number (EIN). The state and FINRA cross-check this against IRS records, and a wrong digit triggers a deficiency.
- Formation documents. Articles of incorporation, partnership agreement, or LLC operating agreement prove your legal structure for Schedules A through D.
- List of direct owners and executive officers. You need full names, titles, ownership percentages, and dates for Schedule A; missing an owner is a disclosure violation.
- List of indirect owners. Anyone who controls a direct owner goes on Schedule B, and leaving them off can later be treated as a false filing.
- Disclosure history for the firm and its people. Any criminal, regulatory, civil, or financial events must be reported in Item 11 and on the DRD pages.
- North Carolina surety bond information. The Securities Division may require a dealer surety bond, so know your bonding source before you reach the state page.
- Filing fee payment. North Carolina’s $200 dealer fee must be funded in your CRD Flex-Funding/Daily account, or the state registration will not post.
- Series exam records for principals and agents. Agents need a passing Series 63, or a Series 66 plus Series 7, under 18 NCAC 06A .1402.
If any item is missing, the practical result is a deficiency notice — a letter that pauses your application until you supply the data. Each round trip can add days or weeks, so the checklist is your fastest path to a clean approval.
Where to Get the Form and How to Access It
You do not download Form BD and mail it like a tax return. For FINRA-member firms, Form BD lives inside the Central Registration Depository (CRD) system as an electronic filing. You complete and submit it online. The blank reference copy and instructions are posted as the official Form BD PDF on FINRA’s site, which is useful for planning your answers before you key them in.
To reach the electronic form, a new firm must first set up system access with FINRA. The steps on FINRA’s How to Apply page walk you through reserving your firm name, signing up for CRD entitlement, and funding your account. Only after entitlement is granted can you open and file Form BD. North Carolina rule 18 NCAC 06A .1403 confirms that NASD/FINRA member dealers file their North Carolina applications through the NASAA/CRD system rather than on paper.
Firms that are not FINRA members follow a different path. Under North Carolina’s rules, non-member dealers file directly with the North Carolina Securities Division by mail, sending a manually executed Form BD, the consent to service of process, and the fee straight to the Division in Raleigh. So the same form has two doors: the CRD electronic door for members and the paper door at the state for non-members.
A note on versions: use the current SEC-approved revision of Form BD. The form carries a revision date in its footer, and the widely used reference copy is the Form BD (Rev. 06/2015) edition. Always confirm you have the latest version before filing, because an outdated paper form can be rejected on sight.
Step-by-Step: How to Fill Out Form BD Line by Line
Form BD is organized into numbered Items at the top, followed by execution pages and Schedules A through D. Below is each major part in the order it appears. For each one, you get plain-English meaning, how to answer, a sample entry, an edge case, a common mistake with its consequence, and a misconception to drop.
Item 1: Exact Name of Applicant
What it asks in plain English. This is your firm’s full legal name, exactly as it appears in your formation papers.
How to answer it. Type the complete legal name in all the characters it really uses, including “Inc.,” “LLC,” or “LP.” Do not abbreviate or shorten it. If you use a trade name (a “doing business as” name), report it in Item 1D.
A specific example answer. Summit Ridge Securities, a new firm, enters Summit Ridge Securities, LLC in Item 1, matching its North Carolina certificate of formation.
A nuance or edge case. If your firm operates under a different public name, you still put the legal name in Item 1 and list the trade name separately, so the state sees both.
A common mistake on this field and its consequence. Typing a shortened or marketing name that does not match your EIN and formation records triggers a name-mismatch deficiency, and CRD will hold the filing until you correct it.
A misconception people hold about this field. Many filers think the name here can be the brand customers see. The form wants the legal name; the brand goes in the trade-name box.
Item 2: Firm CRD Number
What it asks in plain English. This is the unique ID number CRD assigns to your firm.
How to answer it. A first-time filer leaves this blank during the new-firm setup, and the system assigns a number. An existing firm enters its current CRD number.
A specific example answer. An out-of-state firm expanding into North Carolina enters its existing number, CRD #128456, so the new state page attaches to its current record.
A nuance or edge case. If your firm once registered, withdrew, and is now returning, you reuse the old CRD number rather than starting fresh, which keeps your full history intact.
A common mistake on this field and its consequence. Starting a brand-new CRD record when your firm already has one creates a duplicate, and FINRA must merge the records before any state registration can post.
A misconception people hold about this field. Some think the CRD number is the same as the SEC number. They are different identifiers, and mixing them up causes routing errors.
Item 3: Principal Office Address
What it asks in plain English. This is the street address of your firm’s main office.
How to answer it. Enter a real physical street address, not a P.O. Box, because regulators must know where your books and records sit.
A specific example answer. Summit Ridge Securities enters 4120 Blue Ridge Road, Suite 210, Raleigh, NC 27612 as its principal office.
A nuance or edge case. If your firm works from a private residence, you still must list that physical address, and it may become part of the public record.
A common mistake on this field and its consequence. Entering a mailbox service or P.O. Box as the principal office gets rejected, since rules require a true place of business for inspections.
A misconception people hold about this field. Filers often think they can hide a home office behind a P.O. Box. The principal office must be the actual location where business happens.
Item 4: SEC Registration Status
What it asks in plain English. This box tells regulators whether and how your firm is registered with the SEC.
How to answer it. Mark whether you are applying for SEC registration, are already SEC registered, or are a firm that registers only at the state level. Enter your SEC file number if you have one.
A specific example answer. A non-FINRA-member firm that sells only intrastate marks that it is not SEC registered and is seeking state registration only.
A nuance or edge case. Some firms are SEC registered but join FINRA at the same time; in that case you complete the SEC and SRO items together so the filing routes to all three.
A common mistake on this field and its consequence. Leaving the SEC status blank stops the form from routing correctly, and the application sits unprocessed.
A misconception people hold about this field. People assume every dealer must be SEC registered. Small intrastate dealers can register with North Carolina alone in limited cases.
Item 5 and 6: Self-Regulatory Organizations and States
What it asks in plain English. Item 5 lists the SROs (like FINRA) you want to join, and Item 6 lists the states where you want to register.
How to answer it. Check the SRO box for FINRA if you are a member firm, then check North Carolina in the list of states on the form’s state registration page.
A specific example answer. Summit Ridge checks FINRA in Item 5 and checks NC in the state grid so the $200 fee and application flow to the North Carolina Securities Division.
A nuance or edge case. A firm already registered in other states simply adds North Carolina to its existing grid; it does not refile everything from scratch.
A common mistake on this field and its consequence. Forgetting to check the NC box means North Carolina never receives the application, even though FINRA processed the rest, so you stay unregistered in the state.
A misconception people hold about this field. Filers think federal registration covers all states automatically. Each state, including North Carolina, must be selected and paid for separately.
Item 7: Other Business Activities
What it asks in plain English. This asks whether your firm does any business other than securities, like insurance or banking.
How to answer it. Answer “Yes” or “No,” and if “Yes,” briefly describe the other business so regulators can spot conflicts.
A specific example answer. A firm that also sells fixed insurance products answers Yes and notes licensed insurance agency activities.
A nuance or edge case. A small side activity still counts; if your firm earns fees from anything beyond securities, disclose it rather than guessing it is too minor.
A common mistake on this field and its consequence. Hiding an outside business that later surfaces in an exam can be treated as a material omission, which supports a denial or sanction.
A misconception people hold about this field. Some believe only large outside businesses matter. Regulators want all of them, because conflicts can hide in small lines of work.
Items 8 through 10: Control, Clearing, and Custody
What it asks in plain English. These items ask about who controls the firm, how trades clear, and whether the firm holds customer funds or securities.
How to answer it. Identify any control relationships, name your clearing firm if you use one, and state whether you will custody customer assets.
A specific example answer. A small introducing firm answers that it clears through a named clearing broker and does not hold customer funds.
A nuance or edge case. A firm that holds customer cash even briefly must say so, because custody triggers higher net-capital and bonding expectations.
A common mistake on this field and its consequence. Saying you do not custody assets while actually holding customer checks is a false statement that can void your registration.
A misconception people hold about this field. Filers think “clearing” and “custody” mean the same thing. Clearing is how trades settle; custody is whether you hold the assets.
Item 11: Disclosure Questions
What it asks in plain English. Item 11 is the long set of “Yes/No” history questions about criminal, regulatory, civil, financial, and bankruptcy events for the firm and its control people.
How to answer it. Read each subpart slowly and answer truthfully. Every “Yes” requires a matching Disclosure Reporting Page (DRP) with the full details, dates, and outcomes.
A specific example answer. A firm with one past state fine answers Yes to the regulatory-action question and attaches a Regulatory Action DRP describing the 2019 consent order and $5,000 fine.
A nuance or edge case. Even a charge that was later dismissed often must be reported; “no conviction” does not always mean “no disclosure.”
A common mistake on this field and its consequence. Answering “No” to dodge a messy event, when CRD already shows it, is treated as a false filing and can lead to denial and referral for fraud.
A misconception people hold about this field. People assume old or sealed events disappear. Many remain reportable, and failing to disclose is often worse than the event itself.
Execution and Signature Page
What it asks in plain English. This is where an authorized person signs under penalty of perjury that the answers are true.
How to answer it. A duly authorized officer or partner signs and dates the execution page, and includes the consent to service of process that lets North Carolina accept legal notice on the firm’s behalf.
A specific example answer. The managing member of Summit Ridge signs as Authorized Signatory and dates it 03/14/2026.
A nuance or edge case. For electronic CRD filings, the signature is captured through the entitled user’s secure submission rather than an ink signature.
A common mistake on this field and its consequence. Having an unauthorized employee sign makes the filing defective, and the state can reject the entire application.
A misconception people hold about this field. Filers think the signature is a formality. It is a sworn legal statement, and false answers expose the signer to personal liability.
Schedule A: Direct Owners and Executive Officers
What it asks in plain English. Schedule A lists the people and entities that directly own or run the firm.
How to answer it. List each CEO, CFO, COO, Chief Legal Officer, Chief Compliance Officer, director, and any owner of 5% or more of voting securities. Add titles, ownership codes, and control-person flags.
A specific example answer. Summit Ridge lists Maria Chen, Managing Member, Ownership Code E (75% or more), Control Person Yes.
A nuance or edge case. An LLC lists members who hold 5% or more of capital and any elected managers, while a partnership lists all general partners.
A common mistake on this field and its consequence. Leaving off a 5% owner understates control of the firm, which is a disclosure violation that can derail approval.
A misconception people hold about this field. People think only the CEO goes here. The schedule needs every listed officer and every 5%-plus owner.
Schedules B, C, and D
What it asks in plain English. Schedule B captures indirect owners, while Schedules C and D are used to amend the direct and indirect owner information later.
How to answer it. Use Schedule B in a new application to name anyone who controls a direct owner. Use Schedule C and D only when you change ownership after the firm is already registered.
A specific example answer. If a holding company owns Summit Ridge, the firm lists Ridge Holdings, Inc. on Schedule B as the indirect owner of the managing member’s stake.
A nuance or edge case. Ownership chains can run several layers deep; you keep listing up the chain until you reach individuals or public reporting companies.
A common mistake on this field and its consequence. Skipping an indirect owner hides who really controls the firm, and regulators can treat that gap as a material omission.
A misconception people hold about this field. Filers think Schedules C and D are part of the first filing. They are amendment pages, used only after initial registration.
Three Filled-Out Examples Using Real Scenarios
Below are three common filers walked through Form BD from start to finish. Each table shows what they enter in the most important parts of the form.
Scenario 1: New FINRA-member firm registering in North Carolina for the first time. Maria Chen launches Summit Ridge Securities, LLC in Raleigh.
| Form Section | What Summit Ridge Enters |
|---|---|
| Item 1 Exact Name | Summit Ridge Securities, LLC |
| Item 2 CRD Number | Blank — assigned at new-firm setup |
| Item 3 Principal Office | 4120 Blue Ridge Road, Suite 210, Raleigh, NC 27612 |
| Item 4 SEC Status | Applying for SEC registration |
| Item 5 SRO | FINRA checked |
| Item 6 States | NC checked, $200 fee funded |
| Item 11 Disclosure | All answered No, no DRPs needed |
| Schedule A | Maria Chen, Managing Member, Code E, Control Person Yes |
| Execution Page | Signed by Maria Chen, Authorized Signatory, 03/14/2026 |
Scenario 2: Out-of-state firm expanding into North Carolina. Atlantic Capital Brokers, already registered in three states, adds North Carolina.
| Form Section | What Atlantic Capital Enters |
|---|---|
| Item 1 Exact Name | Atlantic Capital Brokers, Inc. |
| Item 2 CRD Number | CRD #128456 (existing) |
| Item 4 SEC Status | Already SEC registered, file number entered |
| Item 5 SRO | FINRA (already a member) |
| Item 6 States | Adds NC to existing state grid |
| Item 7 Other Business | No |
| Item 11 Disclosure | Yes to regulatory action, Regulatory DRP attached |
| Schedule A | Existing officers already on file, no change |
| Filing Method | Electronic via CRD, $200 NC fee funded |
Scenario 3: Non-FINRA-member dealer filing directly with the state. Piedmont Intrastate Securities sells only to North Carolina residents and is not a FINRA member.
| Form Section | What Piedmont Enters |
|---|---|
| Item 1 Exact Name | Piedmont Intrastate Securities, LLC |
| Item 4 SEC Status | Not SEC registered |
| Item 5 SRO | None checked |
| Item 6 States | NC only |
| Item 7 Other Business | No |
| Item 11 Disclosure | All No |
| Schedule A | James Whitfield, Sole Manager, Code E, Control Person Yes |
| Filing Method | Mailed paper Form BD plus consent to service |
| Fee | $200 check payable to NC Secretary of State |
How to File the Completed Form
North Carolina has two filing channels, and which one you use depends on whether you are a FINRA member.
Channel 1: Electronic filing through CRD (FINRA-member firms). You submit Form BD inside the Central Registration Depository once your firm has system entitlement. North Carolina’s $200 dealer fee is paid from your CRD Flex-Funding or Daily account, not by separate check. Accepted funding is the deposit you make to your FINRA account by wire, ACH, or check. Processing time runs from a few days to several weeks, depending on disclosures and deficiencies. Your proof of filing is the CRD submission confirmation and the firm’s posted registration status, which you should save or print.
Channel 2: Direct filing with the state (non-FINRA-member firms). Under North Carolina rules, non-member dealers file directly with the North Carolina Securities Division. You mail a manually executed Form BD, a consent to service of process, and the $200 fee by check payable to the North Carolina Secretary of State, to the Securities Division at PO Box 29622, Raleigh, NC 27626-0622. Confirm the current mailing address on the Division’s site before sending. Keep a copy of the full package and your mailing receipt as proof of filing.
The fee is set by N.C. Gen. Stat. § 78A-37(b), which sets a $200 filing fee for a dealer and $125 for a salesman. The same statute lets the Administrator reduce the fee in some cases, so always verify the current amount before you pay. The Division may also require a surety bond before it grants registration, so be ready to provide bond details when asked.
What Happens After You File
After you submit, the North Carolina Securities Division reviews your application for completeness and accuracy. If everything is in order and your fee is funded, the Division grants registration and your firm’s status shows as approved in CRD. Under N.C. Gen. Stat. § 78A-37, registration generally becomes effective once the Administrator processes it, and your firm can then transact securities business with North Carolina customers.
If the Division finds a problem, you receive a deficiency notice listing what to fix. Common holds involve missing DRPs, an unsigned or unauthorized execution page, an unfunded fee, or a missing surety bond. You respond by amending Form BD in CRD or mailing the missing items, and the clock restarts once the Division has what it needs.
North Carolina dealer registration is annual. You must renew each year, and FINRA-member firms renew through the CRD/IARD Renewal Program, paying the renewal fee from their account in the fall renewal cycle. Missing the renewal window can lapse your registration, which means you lose the right to do business until you reinstate. Keep your Form BD current year-round, because any change in ownership, address, or disclosure must be amended promptly, not just at renewal.
Mistakes to Avoid When Filling Out the Form
Each item on Form BD is its own chance to slip. Here are the errors that most often cause delays or denials.
- Using a marketing name instead of the legal name in Item 1. This creates a name mismatch that holds your filing until corrected.
- Starting a duplicate CRD record. FINRA must merge the records before any state registration can post, adding weeks.
- Listing a P.O. Box as the principal office. Regulators reject it because they need a real place to inspect records.
- Forgetting to check the North Carolina box in Item 6. The state never receives your application, so you stay unregistered.
- Leaving the SEC status in Item 4 blank. The form cannot route correctly and sits unprocessed.
- Hiding an outside business in Item 7. An undisclosed activity later found in an exam supports a sanction.
- Answering “No” to an Item 11 disclosure that CRD already shows. This is treated as a false filing and can lead to denial.
- Filing an Item 11 “Yes” without the matching DRP. The missing detail page triggers an automatic deficiency.
- Omitting a 5% owner from Schedule A. This understates control and is a disclosure violation.
- Skipping indirect owners on Schedule B. Hiding the control chain can be treated as a material omission.
- Letting an unauthorized person sign the execution page. The filing becomes defective and can be rejected outright.
- Forgetting to fund the $200 fee before submission. North Carolina will not post the registration until the fee clears.
Do’s and Don’ts
Do:
- Do match every name to your formation and IRS records, because cross-checks catch even a single wrong character.
- Do gather all disclosure history first, since Item 11 needs full details and dates for every “Yes.”
- Do confirm the current Form BD revision, because an outdated form can be rejected on sight.
- Do fund your fee before you submit, so the state can post your registration without delay.
- Do save your filing confirmation, since it is your proof that you submitted on time.
- Do amend promptly when facts change, because stale ownership or address data can become a violation.
Don’t:
- Don’t guess on disclosure questions, because a wrong “No” is far worse than disclosing the event.
- Don’t use a P.O. Box as your principal office, since the rules demand a true business location.
- Don’t assume federal registration covers North Carolina, because each state must be selected and paid for.
- Don’t let an unauthorized person sign, as that defect can void the whole application.
- Don’t skip the consent to service of process, because the state cannot register you without it.
- Don’t ignore the surety bond request, since registration can be withheld until the bond is in place.
Pros and Cons of Filing on Your Own vs. With Help
Some firms file Form BD with in-house staff, while others hire a securities compliance consultant or attorney. Here is how the two paths compare.
Pros of filing on your own:
- Lower cost, because you avoid consultant or legal fees that can run into the thousands.
- Direct control, since your team knows the firm’s facts best and can answer fast.
- Faster small fixes, because you can amend in CRD without waiting on an outside party.
- Builds internal knowledge, which helps with future amendments and renewals.
- Good fit for simple firms, especially small dealers with clean disclosure histories.
Cons of filing on your own:
- Higher error risk, because Item 11 and the schedules are easy to get wrong.
- Slower learning curve, since first-time filers often miss CRD entitlement steps.
- Disclosure traps, as reportable events are easy to overlook without experience.
- Deficiency delays, because mistakes you do not catch turn into back-and-forth with the Division.
- No outside review, so a single signer’s misread of the form goes unchecked.
A balanced approach works for many firms: handle the routine items in-house, but have a compliance professional review the disclosure pages and ownership schedules before you submit.
North Carolina Dealer vs. Salesman Registration
Filers often confuse registering the firm with registering the people. This table shows the difference.
| Dealer (Firm) Registration | Salesman (Agent) Registration |
|---|---|
| Filed on Form BD | Filed on Form U4 |
| $200 fee under § 78A-37(b) | $125 fee under § 78A-37(b) |
| Covers the business entity | Covers each individual agent |
| Includes Schedules A–D | Includes individual disclosure pages |
| Requires no exam for the entity | Requires Series 63, or Series 66 plus Series 7 |
| Governed by 18 NCAC 06A .1403 | Governed by 18 NCAC 06A .1402 |
FAQs
Is Form BD the right form to register a securities dealer in North Carolina?
Yes. Form BD, the Uniform Application for Broker-Dealer Registration, is the application North Carolina accepts to register a firm as a dealer under N.C. Gen. Stat. Chapter 78A.
Is there a fee to register as a dealer in North Carolina?
Yes. North Carolina charges a $200 dealer filing fee under N.C. Gen. Stat. § 78A-37(b), separate from the $125 salesman fee, and it must be paid for each registration.
Do I need to be a FINRA member to register in North Carolina?
No. Non-FINRA-member dealers may file Form BD directly with the North Carolina Securities Division by mail, while member firms file electronically through CRD.
Does registering my firm also register my salespeople?
No. Each agent must file a separate Form U4, while the firm files Form BD; the two are linked in CRD but are not the same filing.
Do I write my firm’s brand name or legal name in Item 1?
No. Item 1 takes your exact legal name as shown on your formation papers; the brand or trade name goes in the Item 1D trade-name box.
Can I list a P.O. Box as my principal office in Item 3?
No. Item 3 requires a real physical street address where your records sit, because regulators must be able to inspect them.
Do I have to check North Carolina in Item 6 if I am already SEC registered?
Yes. Federal registration does not cover the state, so you must check the NC box in Item 6 and pay the North Carolina fee.
Must I report a dismissed criminal charge in Item 11?
Yes. Many charges remain reportable even after dismissal, so answer truthfully and attach a Disclosure Reporting Page rather than risk a false-filing finding.
Do I list a 5% owner on Schedule A?
Yes. Schedule A requires every direct owner of 5% or more of voting securities, plus all listed executive officers, with ownership codes and control flags.
Is the consent to service of process required?
Yes. North Carolina cannot register your firm without a consent to service of process that lets the state accept legal notice on your behalf.
Does my North Carolina dealer registration expire?
Yes. Dealer registration is annual and must be renewed each year, with FINRA-member firms renewing through the CRD/IARD Renewal Program in the fall cycle.
Can I file the current Form BD if it has an older revision date?
No. Always use the current SEC-approved revision; an outdated paper form can be rejected, so confirm the revision date before you submit.
Will the state require a surety bond before approving my firm?
Yes. The North Carolina Securities Division may require a dealer surety bond, and it can withhold registration until the bond is in place.
Do I use Schedule C or D in my first filing?
No. Schedules C and D are amendment pages used to change ownership after registration; new applicants use Schedules A and B instead.
Related reading
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