Section 48-8-002 - NOTICE FILINGEvery federal covered adviser doing business in Nebraska shall, pursuant to Section 8-1103(3) of the Act, file with the Central Registry Depository/Investment Adviser Registration Depository ("CRD/IARD") a notice containing the following information:
002.01 A copy of Application for Investment Adviser Registration ("Form ADV"), Part 1A and Part 2, together with all applicable schedules, as filed with the Securities and Exchange Commission ("SEC") for registration as an investment adviser pursuant to Section 203 of the Investment Advisers Act of 1940;002.02 Either a consent to service of process in Nebraska or a signed and fully executed page 1 of Form ADV, that consents to the appointment of the Director of the Department of Banking and Finance as the agent of the federal covered adviser for service of process in Nebraska. 002.02A With respect to any document filed electronically through CRD/IARD, when a signature or signatures are required by the particular instructions of any filing to be made through CRD/IARD, a duly authorized officer of the applicant or the applicant him or herself, as required, shall affix his or her electronic signature to the filing by typing his or her name in the appropriate fields and submitting the filing to CRD/IARD. Submission of a filing in this manner shall constitute irrefutable evidence of legal signature by any individual whose name is typed on the filing.002.03 A fee in the amount of two hundred dollars ($ 200.00) to be paid through the CRD/IARD; and002.04 Any other information the Director may require.002.05 A notice filing of a federal covered adviser shall be deemed filed with the Director when the filing fee and Form ADV are transmitted to and accepted by CRD/IARD on behalf of Nebraska.48 Neb. Admin. Code, ch. 8, § 002
Amended effective 6/5/2017.