Arizona Administrative Code
Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION
Chapter 4 - Corporation Commission - Securities
Article 1 - IN GENERAL RELATING TO THE ARIZONA SECURITIES ACT
Section R14-4-129 - Registration Procedures for Dealers and Salesmen
Universal Citation: AZ Admin Code R 14-4-129
Current through Register Vol. 30, No. 38, September 20, 2024
A. Application for registration as a dealer or salesman may be made by means of the National Association of Securities Dealers/North American Securities Administrators Association Central Registration Depository System (CRD System) by applicants entitled to use such system.
B. A filing of Form BD or Form U-4 with the CRD System does not constitute an automatic registration in this state. Dealers or salesmen should not consider themselves registered until a notice of effective registration has been issued by the Commission.
C. The filing of documents and information with the CRD System is equivalent to filing with the Commission.
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