Section 260.231.3 - Representation of Eligibility by Investment Adviser(a) The filing of an application, renewal, or notice with the Investment Adviser Registration Depository ("IARD") or directly with the Commissioner shall constitute a representation by the applicant or investment adviser that the applicant or investment adviser is not ineligible to receive a certificate under Section 250.60 of these rules.(b) An applicant subject to Section 250.60 of these rules who files an application through IARD or directly with the Commissioner may, in lieu of filing the form in Section 250.61 of these rules, complete the form and maintain the form and supporting documentation in the applicant's books and records as provided in Section 25241 of the Code and Section 260.241.3 of these rules, if the investment adviser agrees to provide the form and supporting documentation to the Commissioner upon request.Cal. Code Regs. Tit. 10, § 260.231.3
1. New section filed 3-4-2003; operative 4-3-2003 (Register 2003, No. 10). Note: Authority cited: Sections 25241 and 25610, Corporations Code. Reference: Sections 25231 and 25241, Corporations Code.
1. New section filed 3-4-2003; operative 4-3-2003 (Register 2003, No. 10).