APPLICATION

004 APPLICATION. An agent’s application for registration must be submitted to the Director by the employing broker-dealer. 004.01 Broker-dealers that are affiliated with the Financial Industry Regulatory Authority (“FINRA broker-dealers”) must submit a Uniform Application for Securities Industry Registration or Transfer (“Form U4”) and application fee of forty dollars ($40.00) to the Director through CRD/IARD. For purposes of Section 8-1103(4)(a) of the Act, a form submitted through CRD/IARD is deemed filed with the Director when the record is transmitted to the Director for review.

004.02 Broker-dealers that are not affiliated with FINRA (“non-FINRA broker-dealers”) must submit the agent’s Form U4 and application fee of forty dollars ($40.00) directly to the Director.