Section 710 IAC 4-9-16 - Amendment of registration documents filed by investment advisers and investment adviser representativesAuthority: IC 23-19-6-5
Affected: IC 23-19
Sec. 16.
(a) Any amendment required under IC 23-19 for an investment adviser shall be made on Form ADV or any successor form in the manner prescribed by that form.(b) Any amendment required under IC 23-19 for an investment adviser representative shall be made on Form U-4 or any successor form in the manner prescribed by that form.(c) If the information contained in the response to Items 1, 2, 3, 4, 5, 11, 13A, 13B, 14A, and 14B of Part I of any Form ADV application for registration as an investment adviser, or any amendment thereto or renewal thereof, becomes inaccurate or misleading for any reason or if the information contained in any response to any question in Items 9 and 10 of Part I and all items of Part II (except Item 14) of any Form ADV application for registration as an investment adviser, or any amendment or renewal of the original filing, becomes materially inaccurate or misleading, the investment adviser shall promptly file an amendment on Form ADV correcting the information.(d) For all other changes not designated in subsection (c), the investment adviser shall file an amendment on Form ADV correcting the information along with the application for renewal registration described in IC 23-19 on or before December 31 in the calendar year in which the changes occur.(e) If any of the information contained on Form U-4 becomes inaccurate or misleading for any reason, the investment adviser representative shall promptly file a new U-4 correcting the information. Securities Division; 710 IAC 4-9-16; 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