1 Miss. Code. R. 14-5.11 - Renewal of Registration
A. The registration
of a broker-dealer who is a member of FINRA shall be renewed through the CRD
according to the CRD administrative rules governing the registration process
with the CRD system.
B. The
registration of a broker-dealer who is not a member of FINRA may be renewed by
submitting the following to the Division:
1. A
letter requesting renewal, and
2.
The renewal fee specified in Rule 4.13.
C. If renewal requirements are not satisfied
on or before December 31, the registration will be considered terminated and a
new application with all exhibits and the registration fee must be
filed.
Notes
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