Current through October 31, 2024
Rule 1-14-5.11 - Renewal of RegistrationA. 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, and2. 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.Miss. Code Ann. § 75-71-406(d) (2020).