18 NCAC 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.

 

History Note:        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.