Broker-Dealer Registration Form - State Of Missouri (Page 8 of 9) in pdf

Broker-Dealer Registration Form - State Of Missouri Page 8

FREQUENTLY ASKED QUESTIONS

Q: What is your address?

A: Missouri Securities Division

600 W. Main St., Room 229

P.O. Box 1276

Jefferson City, MO 65101

Q: What is your phone number?

A: (573) 751-2061

Q: What is your fax number?

A: (573) 526-3124

Q: What exams does Missouri require for broker dealer agents?

A: Series 7 AND Series 63 OR 66

See 15 CSR 30-51.030(2)(A)

Q: Can I request a waiver of the exam requirements?

A: Yes. You will need to send a letter to the Commissioner requesting a waiver of the exam

requirements. Indicate in your letter your education background, employment history, and

details of your years in the securities industry. Waivers are granted at the discretion of the

Commissioner.

See 15 CSR 30-51.030(3)

Q: Does Missouri sponsor an applicant for the exams?

A: The Series 63, 65, and 66 exams do not require sponsorship as they are State Exams.

Missouri no longer sponsors applicants for the Series 7.

Q: Where can I get more information on exam testing?

A: Visit

Q: What are the registration fees for firms and individuals?

A: $200 – Initial fee for Broker Dealer firms

$100 – Renewal Fee for Broker Dealer firms

$50 – Initial fee for Broker-Dealer Agents

$50 – Renewal fee for Broker-Dealer Agents

See 15 CSR 30-050.030(4) and (5)

Q: Is a broker-dealer firm required to have an agent registered in Missouri?

A: Yes, a broker-dealer must have at least one registered agent at all times.

See 15 CSR 30-51.010(2)

Missouri Broker-Dealer Registration, p. 9

Broker-Dealer Registration Form - State Of Missouri Page 8