HAR §16-38-53. Registration; post-effective requirements

Every applicant for registration as an investment adviser representative and every registered investment adviser representative shall promptly file with the commissioner any and all amendments necessary to keep the information previously reported on the applicant's or registrant's Form U-4 current and accurate. If the Form U-4 being amended was filed with the commissioner through the IARD, any amendment to the Form U-4 may also be filed through the IARD. Upon the receipt of the amendment, the commissioner may request additional information from the applicant or registrant if the information is necessary to determine whether the commissioner should take any action to deny the applicant's application, or suspend or revoke the registrant's registration. [Eff and comp 10/12/85; am and comp 4/14/03] (Auth: HRS §485-2) (Imp: HRS §485-14)