18 N.C. Admin. Code 6A.1406

Current through Register Vol. 39, No. 9, November 1, 2024

Section 06A .1406 - EXPIRATION AND RENEWAL OF DEALER REGISTRATION

(a) A dealer registration shall expire on December 31 of each year unless timely renewed.

(b) A NASD member firm shall renew according to NASAA/NASD Central Registration Depository procedures.

(c) A non-NASD member firm shall renew by filing the following with the administrator at least 15 days before the expiration date:

(1) Application of Dealer In Securities For Renewal Of Registration;

(2) Fee in the amount of two hundred dollars ($200.00) for the dealer renewal payable to the North Carolina Secretary of State; and

(3) Renewal of its salesmen pursuant to Rule .1407 of this Section.

18 N.C. Admin. Code 06A .1406

Authority G.S. 78A-36(c); 78A-37(a); 78A-37(b); 78A-40(a); 78A-49(a);
Eff. April 1, 1981;
Amended Eff. October 1, 1988; January 1, 1984; November 1, 1982; March 1, 1982;
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 6, 2016.

Authority G.S. 78A-36(c); 78A-37(a); 78A-37(b); 78A-40(a); 78A-49(a);
Eff. April 1, 1981;
Amended Eff. October 1, 1988; January 1, 1984; November 1, 1982; March 1, 1982.