CHAPTER 301. REGISTRATION REQUIREMENT

§ 301.010. [Reserved].

§ 301.020. Agent transfers.

 An agent who wishes to terminate employment with one registered broker-dealer and thereafter commence employment with another registered broker-dealer may do so without causing a suspension in the agent’s registration with the Commission if all of the following conditions are met:

   (1)  Both the terminating and employing broker-dealers are members of the National Association of Securities Dealers, Inc.

   (2)  The transfer is effected in accordance with the terms, conditions and execution of Item 15 of the Uniform Application for Securities Industry Registration or Transfer (Form U-4).

   The provisions of this §  301.020 amended under sections 301(b) and 609(a) of the Pennsylvania Securities Act of 1972 (70 P. S. § §  1-301(b) and 1-609(a)).

   The provisions of this §  301.020 adopted October 26, 1984, effective October 27, 1984, 14 Pa.B. 3909; amended December 28, 2001, effective December 29, 2001, 31 Pa.B. 7032. Immediately preceding text appears at serial pages (268805) to (268806).

§ 301.040. [Reserved].

§ 301.051. [Reserved].

   The provisions of this §  301.051 adopted March 29, 1974, effective March 30, 1974, 4 Pa.B. 5823; amended April 24, 1981, effective April 25, 1981, 11 Pa.B. 1392; amended October 23, 1981, effective October 24, 1981, 11 Pa.B. 3626; reserved October 26, 1984, effective October 27, 1984, 14 Pa.B. 3910. Immediately preceding text appears at serial pages (64124) to (64125).