6 Del. Admin. Code § 200-F-601

Current through Register Vol. 27, No. 10, April 1, 2024

Section 200-F-601 - Registration of Broker-Dealer Agents

(a) A person applying for a license as a broker-dealer agent in Delaware shall make application for such license on Form U-4 (Uniform Application for Securities Industry Registration or Transfer). Amendments to such application shall also be made on Form U-4.

(b) An applicant for registration as a broker-dealer agent shall file his or her application, together with the fee required by of the Act, with FINRA's CRD and shall file with the Director such other information as the Director may reasonably require.

(c) Registration expires at the end of the calendar year. Any broker-dealer may renew its registration by filing with FINRA, such information as is required by FINRA, together with the fee required by the Act.

(d) For the purposes of Section 73-302(a) of the Act, an application will not be deemed complete until a broker-dealer agent is also registered through CRD with FINRA and with the principal state in which the broker-dealer agent does business (if registration in such state is required by that state), or at the discretion of the Director.

(e) An application for registration will not be effective until the registration has been approved by the Unit on CRD.

6 Del. Admin. Code § 200-F-601

1 DE Reg. 1978 (6/1/98)
7 DE Reg. 213 (8/1/03)
15 DE Reg. 529 (10/01/11)
18 DE Reg. 394 (11/1/2014) (Final)