N.J. Admin. Code § 13:47A-5.2

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

Section 13:47A-5.2 - Application for renewal

(a) A broker-dealer registered in New Jersey through the CRD may apply to renew Its registration by filing the renewal forms prescribed by the CRD accompanied by payment of a $ 600.00 renewal fee.

(b) A broker-dealer registered in New Jersey through direct registration with the Bureau may apply to renew its registration by filing Form BDR issued to the registrant by the Bureau accompanied by a check or money order for $ 600.00 made payable to the State of New Jersey, Bureau of Securities.

(c) A registered investment adviser registered or notice filed In New Jersey through the lARD may apply to renew its registration by filing the renewal forms prescribed by the lARD by December 31 of each year, accompanied by payment of a $ 550.00 renewal fee.

(d) A registered investment adviser registered In New Jersey through direct registration with the Bureau may apply to renew its registration by filing a current copy of the Form ADV, together with a check or money order for $ 550.00 made payable to the State of New Jersey, Bureau of Securities.

(e) An agent registered In New Jersey through the CRD may apply to renew his or her registration by filing the renewal prescribed by the CRD accompanied by a $ 190.00 renewal fee.

(f) A broker-dealer registered in New Jersey through direct registration with the Bureau may apply to renew its agents who are registered in New Jersey through direct registration with the Bureau by filing with the Bureau a list containing the name and social security number of each such agent together with a check or money order payable to the State of New Jersey, Bureau of Securities, In the amount of $ 190.00 per agent per year.

(g) An Issuer agent registered In New Jersey may apply to renew his or her registration with the Bureau by filing a completed Form ISR issued to the registrant by the Bureau accompanied by a check or money order in the amount of $ 190.00, made payable to the State of New Jersey, Bureau of Securities.

(h) An investment adviser representative registered electronically in New Jersey through the CRD may apply to renew his or her registration by December 31 of each year by filing the renewal form prescribed by the CRD accompanied by a $ 210.00 renewal fee.

(i) An investment adviser representative registered in New Jersey via direct registration with the Bureau may apply to renew his or her registration by December 31 of each year by filing N.J. Form IA Rep, as set forth in 13:47A-11.11, accompanied by a check or money order made payable to the State of New Jersey, Bureau of Securities, in the amount of $ 50.00. This requirement may be satisfied by a filing with the Bureau by the investment adviser of a list of the names and social security numbers of each investment adviser representative affiliated with the investment adviser, together with any amendments to such investment adviser representatives' Forms U4 that have not been previously filed with the Bureau, along with a fee equal to $ 50.00 for each investment adviser representative included in the filing.

N.J. Admin. Code § 13:47A-5.2

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

Amended by 51 N.J.R. 1467(a), effective 9/16/2019

Amended by 56 N.J.R. 1986(a), effective 10/7/2024