N.J. Admin. Code § 13:47A-7.7

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

Section 13:47A-7.7 - New registrations

(a) Broker-dealer registrants registered with the CRD in other states who wish to include a registration in New Jersey may do so by filing an amendment with the CRD to the Form BD, Uniform Application for Broker-Dealer Registration, to include New Jersey as one of the states in which it is registered. These registrants must also include in the amendment filing any other information required by 13:47A-1.1 or 1.9. The information required by 13:47A-1.1 and 1.9 may be filed as a supplement to the amendment filed with the CRD or by a separate supplemental filing made directly to the Bureau at the same time the amendment is filed with the CRD.

(b) Investment adviser registrants registered with the IARD in other states who wish to include a registration in New Jersey may do so by filing an amendment with the IARD to the Form ADV, Uniform Application for Investment Adviser Registration, to include New Jersey as one of the states in which it is registered. These registrants must also include in the amendment filing any other information required by 13:47A-2.1 or 2.5. The information required by 13:47A-2.1 and 2.5 may be filed as a supplement to the amendment filed with the IARD or by a separate supplemental filing made directly to the Bureau at the same time the amendment is filed with the IARD.

(c) New applicants who are not registered either directly with the Bureau or via the CRD or IARD must file their application for registration with the CRD or IARD in accordance with 13:47A-1.1 or 2.1, if they are eligible to do so. Only those new applicants who are not eligible for filing with the CRD or IARD may file their applications directly with the Bureau in accordance with 13:47A-1.2 or 2.1.

N.J. Admin. Code § 13:47A-7.7

New Rule, R.1992 d.435, effective 11/2/1992.
See: 24 N.J.R. 2524(a), 24 N.J.R. 4060(a).
Amended by R.1997 d.451, effective 10/20/1997.
See: 29 N.J.R. 3119(a), 29 N.J.R. 4463(a).
Recodified (d) as (b); and deleted (b), (c), (e) and (f).
Amended by R.2003 d.154, effective 4/7/2003.
See: 34 N.J.R. 3691(b), 35 N.J.R. 1563(b).
Amended by R.2008 d.301, effective 10/6/2008.
See: 40 N.J.R. 2061(a), 40 N.J.R. 5820(a).
In (a), inserted a comma following "BD" and "Registration" and deleted "of Securities" following "Bureau"; added new (b); recodified former (b) as (c); in (c), deleted "of Securities" following "Bureau" twice and inserted "or IARD" and "or 2.1" throughout.