Proposed Rule2018 | 2017 | 2016 | 2015 | 2014 | Show more years
(additions are underscored and deletions are
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(a) Amount. The following fees shall apply:
- (10) Late Termination Notice: $100 for each notice required by Rule 214(a) which is filed more than 30
RULE 214. TERMINATION OF ASSOCIATED PERSON REGISTRATION AND PRINCIPAL AFFILIATION.
(a) After the filing of a Form 8-R on behalf of any individual for the purpose of permitting that individual to be an AP of a sponsor or a principal affiliated with a sponsor, that sponsor must notify NFA within 30
20 days after the occurrence of either:
- (1) the failure of that person to become associated with the sponsor as an AP or affiliated with the sponsor as a principal and, if required, the reasons therefore; or
(2) the termination of the association of the AP or the affiliation as a principal with the sponsor and, if required, the reasons therefore.
(c) If the notice required by paragraph (a) of this Rule is filed more than 30
20 days after the occurrence of the event requiring the notice, such notice shall be accompanied by the fee specified in Rule 203(a).