Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004. NOTE: Prior to repeal, this section was amended to read as follows:
(a)(1) A broker-dealer, agent, investment adviser or investment adviser representative required to be registered under this title may obtain an initial or renewal registration by filing in such form and in such manner as prescribed by rule or order of the Administrator an application, the filing fee set forth in Section 412 of this title and any other information determined to be necessary by the Administrator.
(2)If financial reports required do not coincide with registration dates, such reports for the registrant's preceding fiscal year shall be acceptable unless the Administrator by rule or order otherwise prescribes. The Administrator may by rule or order requir
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Repealed by Laws 2003, c. 347, § 53, eff. July 1, 2004. NOTE: Prior to repeal, this section was amended to read as follows: (a) (1) A broker-dealer, agent, investment adviser or investment adviser representative required to be registered under this title may obtain an initial or renewal registration by filing in such form and in such manner as prescribed by rule or order of the Administrator an application, the filing fee set forth in Section 412 of this title and any other information determined to be necessary by the Administrator. (2) If financial reports required do not coincide with registration dates, such reports for the registrant's preceding fiscal year shall be acceptable unless the Administrator by rule or order otherwise prescribes. The Administrator may by rule or order require an applicant for initial registration to publish an announcement of the application in one or more specified newspapers published in this state. (b) If no denial order is in effect and no proceeding is pending pursuant to the provisions of Section 204 of this title, registration becomes effective at noon of the forty-fifth day after a complete application is filed and proper payment is made. The Administrator may specify, by rule or order, an earlier effective date, and may defer, by order, the effective date until noon of the forty-fifth day after the filing of any amendment. (c) When an application is denied or withdrawn, the Administrator shall retain the fee. (d) A registered broker-dealer or investment adviser may file an application for registration of a successor, whether or not the successor is then in existence, for the unexpired portion of the year. There shall be no filing fee. (e) The Administrator, by rule, may require a minimum capital for registered broker-dealers and investment advisers. Added by Laws 1959, p. 330, § 202, eff. July 1, 1959. Amended by Laws 1961, p. 580, § 1; Laws 1968, c. 406, § 2, emerg. eff. May 17, 1968; Laws 1975, c. 135, § 1, emerg. eff. May 19, 1975; Laws 1983, c. 262, § 7, operative July 1, 1983; Laws 1984, c. 55, § 1, eff. Nov. 1, 1984; Laws 1988, c. 108, § 9, eff. Nov. 1, 1988; Laws 1992, c. 241, § 9, eff. July 1, 1992; Laws 1995, c. 196, § 5, eff. July 1, 1995; Laws 1997, c. 279, § 4, eff. July 1, 1997; Laws 2003, c. 493, § 2, eff. Nov. 1, 2003.