S.C. Code Regs. 13-404

S.C. Code Regs. 13-404. Criminal Record Requirement for Agents and Investment Adviser Representatives

Last amended: 2015Year: 2026Length: 48 wordsOfficial source
Pursuant to Section 35-1-406 (a)(2), every person applying for registration as an agent or investment adviser representative in this State must request the South Carolina Law Enforcement Division to submit directly to the Securities Commissioner a criminal record history. This requirement is waived for FINRA registered broker-dealer agents.
S.C. Code Regs. 13-404: S.C. Code Regs. 13-404. Criminal Record Requirement for Agents and Investment Adviser Representatives | Justis AI