44-3151. Licensure required; exclusion; violation; classification A. A person shall not transact business in this state as an investment adviser or investment adviser representative unless any of the following applies: 1. The person is licensed under this article. 2. The person is a federal covered adviser and has made a notice filing under this article. […]
44-3152. Exemption of certain investment advisers and investment adviser representatives; private fund adviser exemption; definitions A. An investment adviser is not required to be licensed or make a notice filing under this chapter if that investment adviser does not have a place of business in this state and either: 1. Its only clients in this […]
44-3153. Application for licensure as investment adviser; notice filings by federal covered advisers A. Any person may apply for licensure as an investment adviser. The applicant shall sign an application for licensure. B. An application for licensure as an investment adviser shall be filed with the commission through the IARD. If the IARD does not […]
44-3154. Licensure application; additional information The commission or the director may require submission of additional information regarding an applicant’s previous history, record or business experience as the commission or director deems necessary to determine whether an applicant should be licensed as an investment adviser or investment adviser representative in this state.
44-3155. Investment adviser license; notification A. If an applicant for licensure as an investment adviser fully complies with this article and commission rules adopted under this article, the director shall license the applicant as an investment adviser, unless the commission finds cause for denial as provided in article 6 of this chapter. B. After the […]
44-3156. Application for licensure as investment adviser representative A. Any individual may apply for licensure as an investment adviser representative. An application for licensure as an investment adviser representative shall be signed by the applicant and by the licensed or federal covered adviser employing or intending to employ the applicant. B. An application for licensure […]
44-3157. Investment adviser representative license; notification A. If an applicant for licensure as an investment adviser representative fully complies with this article and commission rules adopted under this article, the director shall license the applicant as an investment adviser representative, unless the commission finds cause for denial as provided in article 6 of this chapter. […]
44-3158. Expiration, renewal or transfer of licensure; automatic suspension A. All licenses expire on December 31 of each year unless renewed before expiration by payment through the IARD of the fees prescribed by section 44-3181. If the IARD does not provide for receipt of a filing, the filing may be made with the commission by […]
44-3159. Reporting requirements A. In order to retain licensure, licensed investment advisers and investment adviser representatives shall file the following with the commission through the IARD: 1. A supplemental statement showing any material changes in the facts contained in the original application for licensure as supplemented or amended as the changes occur or within thirty […]
