205 CMR, § 116.06 - Notification Concerning Certain New Qualifiers of Holding, Intermediary or Subsidiary Companies and New Qualifying Entities
(1) Each Category 1 and Category 2 applicant
or licensee shall immediately notify the commission, in writing, as soon as it
becomes aware of any new persons required to be qualified in connection with
the holding, intermediary or subsidiary company of that Category 1 or Category
2 applicant or licensee in accordance with M.G.L. c. 23K.
(2) Upon receipt of a notice under 205 CMR
116.06(1), the commission shall refer the matter to the bureau for appropriate
handling, including, but not limited to, a notice to the new person requiring
the filing of an appropriate application and the subsequent investigation of
that application.
Notes
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