6 Del. Admin. Code § 200-G-702

Current through Register Vol. 28, No. 5, November 1, 2024

Section 200-G-702 - Notice Filing Requirements for Federal Covered Advisers

(a) A federal covered adviser wishing to provide notice of its intention to do business in Delaware shall provide such notice on Form ADV (Uniform Application for Investment Adviser Registration under the Investment Advisers Act of 1940). Amendments to such notice shall also be made on Form ADV.

(b) The federal covered adviser shall file its Form ADV, together with the fee required by the Act, with IARD.

(c) The federal covered adviser's notice filing expires at the end of the calendar year. The federal covered adviser may renew its notice filing by filing with the IARD such information as is required by the IARD, together with the fee required by the Act.

6 Del. Admin. Code § 200-G-702

1 DE Reg. 1978 (6/1/98)
15 DE Reg. 529 (10/01/11)
18 DE Reg. 394 (11/1/2014) (Final)