Okla. Admin. Code § 660:11-5-12

Current through Vol. 41, No. 19, June 17, 2024

Section 660:11-5-12 - Renewal

(a)Broker-dealer. A FINRA member shall renew its registration by submitting the renewal fee specified in Section 1-612 of the Securities Act to the CRD. A non- FINRAmember shall renew its registration by submitting to the Department an Application for Renewal of Non- FINRA Broker-Dealer Registration and the renewal fee specified in Section 1-612 of the Securities Act.

(b)Broker-dealer agent. Agents of FINRA members shall renew their registrations by submitting the renewal fee specified in Section 1-612 of the Securities Act to the CRD. Agents of non- FINRA members shall renew their registrations by submitting an Application for Renewal of Non- FINRA Broker-Dealer Agent Registration and the renewal fee specified in Section 1-612 of the Securities Act to the Department.

(c)Broker-dealer principal. Principals of non- FINRA members shall renew their registrations by submitting an Application for Renewal of Non- FINRA Broker-Dealer Principal Registration and the renewal fee specified in Section 1-612 of the Securities Act to the Department.

(d)Issuer agent. Issuer agents shall renew their registrations by submitting an Application for Renewal of Issuer Agent Registration and the renewal fee specified in Section 1-612 of the Securities Act to the Department.

Okla. Admin. Code § 660:11-5-12

Added at 21 Ok Reg 2532, eff 7-1-04; Amended at 30 Ok Reg 2070, eff 8-1-13