6 Del. Admin. Code § 200-F-603

Current through Reigster Vol. 28, No. 6, December 1, 2024

Section 200-F-603 - Continuing Obligation of Registrants to Keep Information Current

(a) Persons registering or registered as broker-dealers, broker-dealer agents or issuer agents are required to keep reasonably current the information set forth in their applications for registration and to notify the Director of any material change to any information reported in their application for registration. An applicant or registrant may notify the Director of such material change by filing an amendment through FINRA's CRD. All other persons shall notify the Director directly.

(b) Failure to keep current the information set forth in an application or to notify the Director of any material change to any information reported in the application shall constitute a waiver of any objection to or claim regarding any action taken by the Director in reliance on information currently on file with the Director.

1 DE Reg. 1978 (6/1/98)
15 DE Reg. 529 (10/01/11)
18 DE Reg. 394 (11/1/2014) (Final)