N.J. Admin. Code § 13:47A-3A.2

Current through Register Vol. 56, No. 21, November 4, 2024

Section 13:47A-3A.2 - Change of status; submission of form

(a) A registered investment adviser representative shall file with the Bureau an amendment to Form U4 within 30 days, whenever there is any change to the information previously reported on the Form U4.

(b) Whenever a registered investment adviser representative terminates employment with an investment adviser registered in New Jersey, or with the U.S. Securities and Exchange Commission if the investment adviser has a place of business in this State, the investment adviser shall file with the Bureau Form U5, Uniform Termination Notice for Securities Industries Registration, within 30 days of the termination.

(c) A Form U4 or Form U5, or amendments thereto, may be filed with the Bureau by electronically filing them with the CRD, as applicable.

N.J. Admin. Code § 13:47A-3A.2

Amended by R.2008 d.301, effective 10/6/2008.
See: 40 N.J.R. 2061(a), 40 N.J.R. 5820(a).
In (a), substituted "U4" for "U-4" twice and "30" for "20"; in (b), substituted "U5," for "U-5" and inserted a comma following "Registration"; in (c), substituted "U4" for "U-4" and "U5" for "U-5" and deleted "/IARD" following "CRD".