N.J. Admin. Code § 13:47A-3.2 - Change of status; agents; submission of form
(a) A registered
agent shall file an amendment with the CRD, by filing or updating a Form U4,
Uniform Application for Securities Industry Registration or Transfer, or its
successor form, along with the fee, if any, prescribed by the CRD, whenever
there is any change to the information previously reported on the Form U4. The
amendment(s) must be filed within 30 days of the occurrence requiring the
change. Whenever an agent commences employment with a broker-dealer or issuer,
the agent must file the amendment within five days of the commencement of
employment. For agents of non-FINRA member broker-dealers, the amendments shall
be filed directly with the Bureau.
(b) Whenever an agent terminates employment
with a broker-dealer registered in New Jersey via the CRD, the broker-dealer
shall file with the CRD or Bureau, as appropriate, the Form U5, Uniform
Termination Notice for Securities Industries Registration, within 30 days of
the termination. For agents of non-FINRA member broker-dealers, the Form U5,
Uniform Termination Notice for Securities Industries Registration, shall be
filed directly with the Bureau.
Notes
State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.
No prior version found.