Renewal of Registration

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.