Agent Registration and Termination (non-FINRA)

Agent Registration and Termination (non-FINRA). A. Application for registration as an agent not associated with members of FINRA shall be submitted directly to the Division on Form U4 along with the registration fee specified in Rule 4.13. B. If an agent's relationship with a broker-dealer is terminated for any reason, the broker- dealer shall notify the Division on Form U5 within fifteen (15) days of such termination. C. Renewal of the permit of an agent not associated with members of FINRA must be requested and the renewal fee must be submitted by the broker-dealer prior to December 31 of each year. If the renewal request is not received on or before December 31, the registration will be considered terminated, and a new application and fee must be submitted.