Section 710 IAC 4-9-1 - Investment adviser registration applicationAuthority: IC 23-19-6-5
Affected: IC 23-19
Sec. 1.
(a) An application for registration as an investment adviser filed under IC 23-19 must be filed on Form ADV, the Uniform Application for Investment Adviser Registration promulgated by the U.S. Securities and Exchange Commission (SEC) at 17 CFR 279.1, or any successor form, in accordance with the instructions contained therein, with the commissioner or with a central registration depository system designated by the commissioner. The application must include the following:(1) Proof of compliance by the investment adviser with the examination requirements under section 6 of this rule unless exempted therein.(2) The financial statements required by IC 23-19 and section 12 of this rule, including a copy of the balance sheet for the most recent fiscal year prepared in accordance with generally accepted accounting principles.(3) The fee required under IC 23-19.(4) Consent to service of process required under IC 23-19.(5) Any other information required under IC 23-19 or these rules or requested by the commissioner.(b) A Form ADV filed by an investment adviser partnership that is not registered when the form is filed and that succeeds to and continues the business of a predecessor partnership registered as an investment adviser shall be deemed to be an amendment if it is filed to reflect the changes in the partnership and to furnish required information concerning any new partners.(c) A Form ADV filed by an investment adviser corporation that is not registered when the form is filed and that succeeds to and continues the business of a predecessor corporation registered as an investment adviser shall be deemed to be an application for registration even though designated as an amendment if the succession is based solely on a change in the predecessor's state of incorporation and the amendment is filed to reflect that change.(d) A Form ADV filed by an investment adviser:(3) sole proprietorship; or(4) other entity; that is not registered when the form is filed and that succeeds to and continues the business of a predecessor entity registered as an investment adviser shall be deemed to be an application for registration even though designated as an amendment if the succession is based solely on a change in the predecessor's form of organization and the amendment is filed to reflect that change.
(e) An application for renewal registration as an investment adviser must be filed with the commissioner or with a central registration depository system designated by the commissioner no later than December 31 of each year. The application:(1) must be accompanied by the fee required under IC 23-19; and(2) shall also include any amendments to Form ADV, prepared in accordance with section 16 of this rule, as required under IC 23-19.Securities Division; 710 IAC 4-9-1; filed Jun 28, 2010, 2:36 p.m.: 20100728-IR-710100044FRAReadopted filed 5/12/2016, 1:47 p.m.: 20160608-IR-710160136RFAReadopted filed 11/30/2022, 4:01 p.m.: 20221228-IR-710220301RFA