Those entities which have been granted the appropriate secondary license by the enumerated under SRC Rule 220.127.116.11 are authorized to act as Registrar upon proper application and compliance with the registration requirements.
1. Applicant may download the form, SEC Form 39-Registrar/SEC Form 39-Registrar-A from SEC website.
2. File with MSRD the completed application form and supporting documents for processing by MSRD Specialist.
3. If applicant is found to be compliant with the basic requirements for registrar of qualified buyers, the applicant is informed in writing that it may now act as registrar of QBs.