Renewal of Registration of Securities Under Section 5.E of the Act

Section 130 Section 130.530  Renewal of Registration of Securities Under Section 5.E of the Act a)         An issuer, controlling person or registered dealer shall file an application for renewal of registration of part or all of the securities that remain unsold by filing with the Securities Department, no later than 10 business days prior to the date upon which the registration under Section 5.A of the Act or renewal under Section 5.E of the Act would expire, on Form U-1 executed by an officer of the issuer, controlling person or registered dealer and pay the fee set forth in Section 130.110.  The application shall be accompanied by a copy of the prospectus in its most current form. b)         Any application for renewal of registration of securities filed with or fee paid to the Securities Department within nine business days or less prior to the date upon which the registration or renewal would expire shall pay an additional fee set forth in Section 130.110. c)         Any application for renewal of registration of securities filed with or fee paid to the Securities Department on or after the date upon which the registration has expired shall pay an additional fee set forth in Section 130.110 until the application is filed and the renewal fee and all latefees are paid. d)         The renewal of the registration under subsection (a), (b) or (c) shall take effect as of the date that the prior registration or renewal expired. e)         No application for renewal of registration of securities shall be deemed to be filed or take effect if the application, renewal fee or additional fee was filed with or paid to the Securities Department more than one year after the most recent expiration of the registration or renewal of the registration. f)         Prior to the renewal of any registration or renewal, the issuer, controlling person or registered dealer shall file with the Securities Department the name of at least one registered dealer that will be offering or selling the securities or file an application for registration on Form U4 or renewal on Form 8.C(1) for at least one salesperson that the Securities Department will grant registration of, or renewal of registration of, concurrently with the renewal of the registration of the securities and pay to the Securities Department the fee and the additional fee, if any, set forth in Section 130.110.