18 N.C. Admin. Code 6A.1407

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

Section 06A .1407 - EXPIRATION AND RENEWAL OF SALESMAN'S REGISTRATION

A salesman's registration shall expire on December 31 of each year unless renewed. A dealer shall file the following at least 15 days before the expiration date to renew its salesmen's registration:

(1) Dealers that are NASD member firms shall renew all salesmen by complying with the procedures for renewal of salesmen as required by the NASAA/NASD Central Registration Depository along with the payment of fifty-five dollars ($55.00) for each salesman made payable to the National Association of Securities Dealers.

(2) Dealers that are non-NASD member firms shall renew all salesmen by filing with the Securities Division a listing of all salesmen to be renewed along with their current addresses and social security numbers. The salesman renewal list shall be submitted in alphabetical order as follows: last name, first name, middle name or maiden name; current address; social security number. A fee of fifty-five dollars ($55.00) for each salesman made payable to the North Carolina Secretary of State shall be submitted along with the salesman renewal list.

18 N.C. Admin. Code 06A .1407

Authority G.S. 78A-36(c); 78A-37(a); 78A-37(b); 78A-40(a); 78A-49(a);
Eff. April 1, 1981;
Amended Eff. September 1, 1995; October 1, 1988; January 1, 1984; November 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. September 1, 1995; October 1, 1988; January 1, 1984; November 1, 1982.