Section 460-24A-070 - Notice filing requirements for federal covered advisers(1)Notice filing. If you are a federal covered adviser, you must file the notice filing required pursuant to RCW 21.20.050 with IARD on a completed Form ADV. The notice filing will be deemed filed when the fee required by RCW 21.20.340 and the Form ADV are filed with and accepted by IARD on behalf of the state.(2)Form ADV Part 2. The director will accept a copy of Part 2 of Form ADV as filed electronically with IARD.(3)Renewal. If you are a federal covered adviser, you must file the annual renewal of your notice filing with IARD. The renewal will be deemed filed when the fee required by RCW 21.20.340 is filed with and accepted by IARD on behalf of the state.(4)Updates and amendments. If you are a federal covered adviser, you must file any amendments to your Form ADV with IARD in accordance with the instructions in the Form ADV.(5)Hardship exemption. If you are a federal covered adviser that, because you have received a hardship exemption from the Securities and Exchange Commission (SEC), are not required to file your Form ADV with the SEC through IARD you will, in lieu of filing electronically, file the documents and fees required by this section directly with the director.Wash. Admin. Code § 460-24A-070
Amended by WSR 14-13-068, Filed 6/12/2014, effective 7/13/2014Amended by WSR 19-03-133, Filed 1/18/2019, effective 2/18/2019Statutory Authority: RCW 21.20.450, 21.20.050, 21.20.100. 01-16-125, § 460-24A-070, filed 7/31/01, effective 10/24/01.