Requirements for the registration of broker dealers and agents
& Virgin Islands Office of the Lieutenant Governor Division of Banking and Insurance Kongens Gade No. 18, Charlotte Amalie, St. Thomas, USVI, 00802 « (340) 774-7166 * Fax (340) 774-9458 No. 5/2005 ORDER WHEREAS, the Lieutenant Governor or his designee, as Administrator of the Uniform Securities Act as set forth in 9 V.LC. § 602(1) and § 661(a), may issue forms and orders pursuant to 9 V.ILC. § 665(a)(1); and WHEREAS, 9 V.LC. §§ 631, 632 and 636 provide requirements for’ the registration of broker-dealers and agents. NOW, THEREFORE, the premises having been considered as set forth above, and the Administrator having found that this Order, in concert with 9 V.LC. § 665, is necessary or appropriate in the public interest and is consistent with the purposes of the Uniform Securities Act; it is hereby ORDERED that all applicants for registration as a broker-dealer must submit to the Division of Banking and Insurance the following information: Order No. …
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& Virgin Islands Office of the Lieutenant Governor Division of Banking and Insurance Kongens Gade No. 18, Charlotte Amalie, St. Thomas, USVI, 00802 « (340) 774-7166 * Fax (340) 774-9458 No. 5/2005 ORDER WHEREAS, the Lieutenant Governor or his designee, as Administrator of the Uniform Securities Act as set forth in 9 V.LC. § 602(1) and § 661(a), may issue forms and orders pursuant to 9 V.ILC. § 665(a)(1); and WHEREAS, 9 V.LC. §§ 631, 632 and 636 provide requirements for’ the registration of broker-dealers and agents. NOW, THEREFORE, the premises having been considered as set forth above, and the Administrator having found that this Order, in concert with 9 V.LC. § 665, is necessary or appropriate in the public interest and is consistent with the purposes of the Uniform Securities Act; it is hereby ORDERED that all applicants for registration as a broker-dealer must submit to the Division of Banking and Insurance the following information: Order No. 5 FURTHER ORDERED that all applicants for registration as an agent must submit to the Division of Banking and Insurance the following information: ] Form U4 and all information and exhi bits required by such form; A filing fee of $50.00: Satisfactory evidence of a passin & score by the applicant on an appropriate examination; and Such other information as the Admini Strator may request to determine eligibility for registration. ae Dated this /7 ay of February 2005 at St. Thoma 2 Virgin Islands. “ —— We thee He re = KAA ~Cttlh- ~\ | Deverita Carty Sturdivant Director Designee of the Lieutenant Governor/ Securities Administrator oe