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
  • 21 VAC 5-20-190 requires agents of the issuer amend or update his/her Form U-4 as required by the “Amendment Filings” provisions set forth under “How to Use Form U-4.” Filings shall be made with the Commission.
• Agent of Issuer Registration Renewal
  • 21 VAC 5-20-180 An agent of the issuer can renew its registration by filing with the Commission at its Division of Securities thirty days prior to expiration of registration:
    • Form S.D.4 (Agents to be Renewed)
    • the statutory fee of $40 for each agent made payable to the “Treasurer of Virginia.”