Nevada Administrative Code
Chapter 90 - Securities
SECURITIES AGENTS
Transfer Agents
Section 90.374 - Applicant for licensing: Filing requirements
Universal Citation: NV Admin Code 90.374
Current through December 31, 2024
1. An applicant for licensing as a transfer agent must file an application with the Administrator. The application must include:
(a) A copy of the most recent Uniform Form for Registration as a Transfer Agent filed by the applicant (SEC Form TA-1);
(b) The Uniform Consent to Service of Process (Form U-2);
(c) A balance sheet prepared in the manner prescribed in NAC 90.335 for an applicant for licensing as a broker-dealer; and
(d) A certificate that the applicant has qualified to do business in this State, if qualification is required by NRS 80.010.
2. The original signature of the applicant must be used on the forms required pursuant to paragraphs (a) and (b) of subsection 1.
Added to NAC by Sec'y of State by R033-08, eff. 6-17-2008
NRS 90.350, 90.750
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