710 IAC 4-9-2 Investment adviser representative application

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.