Broker-Dealer and

Agent Registration Requirements


Louisiana Domiciled Broker/Dealer


 ►$250 registration fee, payable through the Central Registration Depository (CRD)

 ►Form BD filed through CRD

 ►Hard copies of the following documents must be submitted to this office:

                 ●Current Audited Financial Statements

                 ●Focus Report

       ►Audited financial statements are due in this office annually, within 90 days of the broker-dealer's fiscal year-end



Out-of-State Broker/Dealer


►$250 registration fee, payable through CRD

►Form BD filed through CRD

►Audited financial statements and Focus Report are not required to be filed with this Office.





►Form U-4 filed through CRD

►$60 filing fee, payable through CRD





    Dual registration is not permitted, unless the firms are affiliated.  Agent must be cancelled by current Broker-Dealer before new registration can be approved.

●    All Broker-Dealer and agent registrations expire on December 31st of each year, if not renewed.  Renewals are through CRD.

●    Annual firm renewal fee is $250, plus $60 per agent.

●   The commissioner may require such additional information as he may deem necessary to establish whether the applicant should be registered.


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Last updated February 08, 2017