6 Del. Admin. Code § 200-G-703

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

Section 200-G-703 - Continuing Obligation of Registrants and Notice Filers to Keep Information Correct

(a) Persons registering as investment advisers or investment adviser representatives are required to keep reasonably current the information set forth in their applications for registration and to notify the Director of any material change to any information reported in their applications for registration.

(b) A federal covered adviser who has made a notice filing under the Act shall file with IARD a copy of any amendment to its Form ADV or any schedule thereto as and when such amendment is filed with the SEC.

(c) Failure to keep current the information set forth in an application shall constitute a waiver of any objection to or claim regarding any action taken by the Director in reliance on information currently on file.

6 Del. Admin. Code § 200-G-703

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