1 Miss. Code. R. 14-5.13

Current through October 31, 2024

Rule 1-14-5.13 - Withdrawal of Registration

If a registered broker-dealer should withdraw its registration for any reason, written notice on Form BDW shall be submitted by the broker-dealer within thirty (30) days to the Division. FINRA member broker-dealers shall file the Form BDW through the CRD. A non-member broker-dealer shall submit Form BDW directly to the Division.

1 Miss. Code. R. 14-5.13

Miss. Code Ann. § 75-71-409 (2016).

Amended 6/3/2018

Amended 4/18/2022

Amended 1/29/2024

Amended 3/14/2024