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Title XXVI TRADE AND COMMERCE

Chapter 409

previous next Effective - 01 Sep 2003, see footnotebottom

  409.4-409.  Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative. — Withdrawal of registration by a broker-dealer, agent, investment adviser, or investment adviser representative becomes effective sixty days after the filing of the application to withdraw or within any shorter period as provided by rule adopted or order issued under this act unless a revocation or suspension proceeding is pending when the application is filed.  If a proceeding is pending, withdrawal becomes effective when and upon such conditions as required by rule adopted or order issued under this act.  The commissioner may institute a revocation or suspension proceeding under section 409.4-412 within one year after the withdrawal became effective automatically and issue a revocation or suspension order as of the last date on which registration was effective if a proceeding is not pending.

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(L. 2003 H.B. 380)

Effective 9-01-03


---- end of effective   01 Sep 2003 ----

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