An ordinary Mississippi broker-dealer agent files Form U4 through CRD and pays a $50 initial state registration fee. Mississippi also lists a $50 annual renewal fee. Qualification must match the representative’s securities activities and ordinarily includes the applicable FINRA qualification plus Series 63 or Series 66. Examination passage and filing do not authorize activity until registration is effective.
Prelicensing education
- Education requirement explanation
- Qualification and any accepted alternative or waiver must match the current state rule; exam passage alone is not registration.
Background
- Fingerprint / background instructions
- Form U4 disclosures and regulator follow-up apply; no separate fingerprint requirement is inferred unless expressly documented.
Application
- Application fee
- An ordinary Mississippi broker-dealer agent files Form U4 through CRD and pays a $50 initial state registration fee. Mississippi also lists a $50 annual renewal fee.
- Application channel / system
- An ordinary Mississippi broker-dealer agent files Form U4 through CRD and pays a $50 initial state registration fee.
- Official application reference
- https://www.sos.ms.gov/securities/fee-schedule
Renewal & maintenance
- CE hours
- FINRA, state, and firm continuing-education duties depend on effective registrations and current rules.
Portability
- Portability / mobility notes
- Registration is firm-, function-, and jurisdiction-specific; examination validity and approval are separate.
Military / veteran / spouse
- Military experience / education credit
- No broad military credit is asserted unless expressly documented.
Source governance
- Primary authoritative source
- https://www.sos.ms.gov/securities/fee-schedule
- Last verified date
- 2026-08-29
- Verification status
- Verified
- Review / recheck date
- 2026-09-29
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