Ariz. Admin. Code § 14-4-129

Current through Register Vol. 30, No. 25, June 21, 2024

Section R14-4-129 - Registration Procedures for Dealers and Salesmen

A. Application for registration as a dealer or salesman may be made by means of the National Association of Securities Dealers/North American Securities Administrators Association Central Registration Depository System (CRD System) by applicants entitled to use such system.

B. A filing of Form BD or Form U-4 with the CRD System does not constitute an automatic registration in this state. Dealers or salesmen should not consider themselves registered until a notice of effective registration has been issued by the Commission.

C. The filing of documents and information with the CRD System is equivalent to filing with the Commission.

Ariz. Admin. Code § R14-4-129

Adopted effective March 16, 1984 (Supp. 84-2).