Procedures for Renewal and Withdrawal from Registration as a Dealer

Section 130 Section 130.820  Procedures for Renewal and Withdrawal from Registration as a Dealer a)         If a registered dealer elects to withdraw its registration in this State, it shall file a Form BDW with FINRA if the dealer is a member of FINRA, or with the Securities Department if the dealer is not a member of FINRA, indicating its intent. b)         If a registered dealer wishes to renew its registration, it shall file the renewal fee as specified in Section 130.110 with FINRA if the dealer is a member of FINRA, or with the Securities Department if the dealer is not a member of FINRA.  Any amended Form BD shall also be filed with FINRA if the dealer is a member of FINRA, or with the Securities Department if the dealer is not a member of FINRA, within 30 days if any material changes occur in the information that was filed with the Securities Department when the dealer applied for registration.