Rule A-15

 

Notification to Board of Termination of Municipal Securities

Activities and Change of Name or Address

 

Rule A-15. (a) Procedure for Notifying Board of Termination. A broker, dealer, or municipal securities dealer that ceases to be engaged in municipal securities activities must promptly notify the Board of such broker’s, dealer’s or municipal securities dealer’s change of status by filing with the Board a written statement setting forth such broker’s, dealer’s or municipal securities dealer’s name, address and Commission registration number and the fact that such broker, dealer or municipal securities dealer is no longer engaging in municipal securities activities.

(b) Obligation to Pay Fees. A broker, dealer, or municipal securities dealer that files notification with the Board pursuant to section (a) of this rule shall be obligated to pay the fees owed to the Board at the time of filing of such notification.

(c) Notification of Name or Address Change. Each broker, dealer or municipal securities dealer which has followed the procedure set forth in Board rule A-12 shall notify the Board promptly of any changes to the information required by rule A-12.

 

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