IRC - Industry Professionals

Industry Professionals

Securities Industry - Brokers, Investment Advisors and Firms

Delaware Professionals

Welcome to the Delaware Securities Division's web site. The Securities Division is a unit of the Delaware Department of Justice and is charged by law with the regulation of the securities business in Delaware. If you have a question or concern that relates to the rules and regulations that govern the securities business in Delaware, we hope that this web site will provide the information that you are looking for.

James B. Ropp
Securities Commissioner

Links

Delaware Regulations...

Delaware Securities Act

Rules and Regulations Pursuant to the Delaware Securities Act

Online Forms

Forms

Registration Materials...

The following forms are available in PDF format. To view a file in PDF format, Adobe. Acrobat. Reader is needed. For a free download of Adobe. Acrobat. Reader, click here.

Once the following PDF's are opened, you can fill them out as you view them! Simply select which field you wish to add information and type!

Broker-Dealer/Agent Applicants Procedure Memorandum

Investment Adviser Examination Affidavit (.pdf)

Investment Adviser Representative Examination Affidavit (.pdf) - (2 pages)

Investment Adviser/Investment Adviser Representative Filing Procedure Memorandum

Notice of Sale of Securities Form (.pdf) - (4 pages)

Small Business Application for Mid-Atlantic Regional Review Form (.pdf) (MARRF) - (3 pages)

Uniform Consent to Service of Process Form (.pdf)

Uniform Investment Company Notice Filing Form (.pdf) - (3 pages)

Waiver of Statutory Registration (.pdf)