18 NCAC 06A .1716. TRANSITION SCHEDULE FOR CONVERSION TO IARD

(a)  Electronic filing of Form ADV.

(1)           By March 15, 2002, each investment adviser registered or required to be registered under the Act must resubmit its Form ADV electronically (if it has not previously done so) with IARD unless it has been granted a hardship exemption under Rule .1715 of this Section.

(2)           If the amendment to Form ADV is made after March 15, 2002, or at an earlier date if an investment adviser has filed its Form ADV [17 CFR 279.1] (or any amendments to Form ADV) electronically with IARD, the registrant must file amendments to Form ADV required by this Section electronically with IARD, unless it has been granted a hardship exemption under Rule .1715 of this Section.

(b)  Electronic filing of Form U-4.  By June 30, 2002, for each investment adviser representative registered or required to be registered under the Act, Form U-4 must be resubmitted electronically (if it has not previously been done) with IARD, unless the investment adviser (filing on behalf of the investment adviser representative) has been granted a hardship exemption under Rule .1715 of this Section.

 

History Note:        Authority G.S. 78C‑20;

Temporary Adoption Eff. January 14, 2002;

Eff. April 1, 2003.