02-032 C.M.R. ch. 504, § 2 - Electronic filing with designated entity
1.
Designation. Pursuant to Section 16406(1) of the Act, the
Administrator designates the CRD to receive and store filings and collect
related fees from broker-dealers and agents on behalf of the
Administrator.
2.
Use of
CRD. Unless otherwise provided, all broker-dealer and agent
applications, amendments, reports, notices, related filings and fees required
to be filed with the Administrator shall be filed electronically with and
transmitted to CRD.
3.
Electronic signature. When a signature or signatures are required
by the particular instructions of any filing made through CRD, the applicant or
a duly authorized officer of the applicant, as required, shall affix his or her
electronic signature to the filing by typing his or her name in the appropriate
fields and submitting the filing to CRD. Submission of a filing in this manner
shall constitute evidence of legal signature by any individuals whose names are
typed on the filing.
4.
Non-CRD filings. Notwithstanding subsection 2, any documents or
fees required to be filed with the Administrator that are not permitted to be
filed with or cannot be accepted by CRD shall be filed directly with the
Administrator.
Notes
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