Ill. Admin. Code tit. 14 § 130.820

Current through Register Vol. 48, No. 24, June 14, 2024

Section 130.820 - Procedures for Renewal and Withdrawal from Registration as a Dealer

a) If a registered dealer elects to withdraw its registration in this State, it shall file a Form BDW with FINRA if the dealer is a member of FINRA, or with the Securities Department if the dealer is not a member of FINRA, indicating its intent.

b) If a registered dealer wishes to renew its registration, it shall file the renewal fee as specified in Section 130.110 with FINRA if the dealer is a member of FINRA, or with the Securities Department if the dealer is not a member of FINRA. Any amended Form BD shall also be filed with FINRA if the dealer is a member of FINRA, or with the Securities Department if the dealer is not a member of FINRA, within 30 days if any material changes occur in the information that was filed with the Securities Department when the dealer applied for registration.

Ill. Admin. Code tit. 14, § 130.820

Amended at 36 Ill. Reg. 2852, effective February 8, 2012