- (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-FINRA member 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.
Added at 21 Ok Reg 2532, eff 7-1-04
Amended at 30 Ok Reg 2066, eff 8-1-13