Section 710 IAC 4-9-2 - Investment adviser representative applicationAuthority: IC 23-19-6-5
Affected: IC 23-19
Sec. 2.
(a) An application for registration as an investment adviser representative under IC 23-19 shall be filed on a Form U-4, the Uniform Application for Securities Industry Registration or Transfer, or any successor form, with the commissioner or with a central registration depository system designated by the commissioner. The application shall include the following: (1) Proof of compliance by the investment adviser representative with the examination requirements of section 6 of this rule unless exempted herein.(2) The fee required under IC 23-19.(3) Consent to service of process required under IC 23-19.(4) Any other information required by IC 23-19 or these rules or requested by the commissioner.(b) An application for renewal registration for an investment adviser representative 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 must:(1) be accompanied by the fee required under IC 23-19; and(2) include any amendments to Form U-4, prepared in accordance with section 16 of this rule.Securities Division; 710 IAC 4-9-2; 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