N.J. Admin. Code § 13:47A-1.11

Current through Register Vol. 56, No. 21, November 4, 2024

Section 13:47A-1.11 - Withdrawal of broker-dealer registration

(a) A broker-dealer registered in New Jersey via the CRD shall file a Uniform Request for Broker-Dealer Withdrawal, Form BDW, or any successor form to the Form BDW prescribed by the CRD when it desires to withdraw its registration as a broker-dealer in the State of New Jersey. Such request for withdrawal will become effective 30 days after filing with the CRD.

(b) A broker-dealer registered in New Jersey by direct filing with the Bureau because it is not eligible for registration via the CRD shall file directly with the Bureau a Form BDW when it desires to withdraw its registration as a broker-dealer in the State of New Jersey. Such request will become effective 30 days after filing with the Bureau.

Amended by 47 N.J.R. 2155(a), effective 8/17/2015