U.S. Securities & Exchange Commission
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U.S. Securities and Exchange Commission

Broker-Dealer Registration

If you would like to register with the Commission as an broker or a dealer or if you have general questions regarding who is required to register, you should obtain the Commission's Broker-Dealer Registration Package. The Broker-Dealer Registration Package can be obtained by calling the Publications Unit at (202) 551-4040 or by writing to the Publications Unit, Securities and Exchange Commission, 100 F Street, NE, Mail Stop LL610, Washington, DC 20549, or by an electronic mail request to publicinfo@sec.gov.

Once you have reviewed the registration package, and determined that you are required, to register with the Commission, you must submit your completed registration package in accordance with the instructions provided in the Broker-Dealer Registration Package.


Modified: 06/27/2005