S.C. Code Regs. § § 13-603

Current through Register Vol. 48, No. 11, November 22, 2024

Section 13-603 - Consents to Service of Process

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.

S.C. Code Regs. § 13-603

Added by State Register Volume 30, Issue No. 6, eff June 23, 2006; State Register Volume 39, Issue No. 06, eff. 6/26/2015; State Register Volume 44, Issue No. 06, eff. 6/26/2020.