Investment companies making a notice filing on Form NF, Uniform Investment Company Notice Filing, on or after January 1, 2011 must implement a system permitting them to submit their documents and fees electronically on or after January 1, 2011, by following the instructions on the Iowa Insurance Division's web site at
FINRA member broker-dealer applicants need to file Form BD, Uniform Application for Broker-Dealer Registration, and a $200 fee with the CRD. Non-FINRA member broker-dealer applicants must file a signed and notarized Form BD and $200 with the Administrator. NOTE:
The audited financial statement, BD affidavit and consent to service of process requirements are eliminated.
The fee for agents of broker-dealers (whether FINRA or non-FINRA), agents of Canadian broker-dealers and agents of issuers is increased to $40, from $30.
The definition of “FINRA” replaces the definition of “NASD”
in the definitions rule.