An agent who wishes to terminate his employment with one registered broker-dealer and thereafter commence employment with another broker-dealer may do so without causing a suspension in the agent's registration if all of the following conditions are met:
- (1) Both the terminating and employing broker-dealers are members of FINRA.
- (2) The transfer is effected in accordance with the terms and conditions of the NASAA/FINRA Central Registration Depository Temporary Agent Transfer Program.
- (3) The employing broker-dealer has executed and filed an "Undertaking for Participation in the NASAA/FINRA Central Registration Depository TAT Program."
- (4) The employing broker-dealer currently is not subject to an order of the Administrator which would otherwise make this section unavailable.
Added at 21 Ok Reg 2532, eff 7-1-04
Amended at 30 Ok Reg 2066, eff 8-1-13
Amended at 42 Ok Reg, Number 20, effective 8-15-25