Mont. Admin. r. 6.10.511

Current through Register Vol. 23, December 6, 2024
Rule 6.10.511 - NOTICE FILING REQUIREMENTS FOR FEDERAL COVERED ADVISERS
(1) The notice filing for a federal covered adviser pursuant to 30-10-201, MCA, shall be filed with the commissioner, or with a central registration depository designated by the commissioner on an executed Form ADV (uniform application for investment adviser registration (17 CFR 279.1 (1998)) and shall include:
(a) the consent to service of process required by 30-10-208, MCA, unless incorporated by reference by ARM 6.10.150; and
(b) the fee required under 30-10-209, MCA.
(2) A federal covered adviser shall file with the commissioner a copy of each amendment to its Form ADV when such amendment is filed with the Securities and Exchange Commission.
(3) The renewal of the notice filing for a federal covered adviser pursuant to 30-10-209(2)(c), MCA, shall be filed upon the first page of an executed Form ADV (uniform application for investment adviser registration ( 17 CFR 279.1 (1998)), and shall contain the fee required under 30-10-209, MCA. Such filing shall be accompanied by amendments or documents filed with the Securities and Exchange Commission that have not previously been provided to the commissioner.

Mont. Admin. r. 6.10.511

NEW, 1999 MAR p. 56, Eff. 1/15/99; TRANS and AMD, from ARM 6.10.145, 2008 MAR p. 2046, Eff. 9/26/08.

30-10-107, MCA; IMP, 30-10-201, MCA;