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Colorado Administrative Code
Department 700 - Department of Regulatory AgenciesDivision 704 - Division of SecuritiesRule 3 CCR 704-1 - RULES UNDER THE COLORADO SECURITIES ACT
Chapter 4(IA) - NOTICE FILING FROM FEDERAL COVERED ADVISERS. LICENSING OF INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES
Section 3 CCR 704-1-51-4.1(IA) - General Provisions

3 Colo. Code Regs. § 704-1-51-4.1(IA)

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Current through Register Vol. 47, No. 20, October 25, 2024
Section 3 CCR 704-1-51-4.1(IA) - General Provisions
A. Pursuant to section 11-51-403(4), C.R.S., the Securities Commissioner designates the IARD to receive and store filings and collect related fees from investment advisers and investment adviser representatives on behalf of the Securities Commissioner.
B. Unless otherwise provided, all investment adviser and investment adviser representative applications, amendments, reports, notices, related filings and fees required to be filed with the Securities Commissioner on or after July 31, 2001, shall be filed electronically with and transmitted to IARD. The following conditions relate to such electronic filings:
1. When a signature or signatures are required by the particular instructions of any filing to be made through IARD, a duly authorized officer of the applicant or the applicant themselves, shall affix their electronic signature to the filing by typing their name in the appropriate fields and submitting the filing to IARD. Submission of a filing in this manner shall constitute irrefutable evidence of legal signature by any individuals whose names are typed on the filing.
2. Solely for the purposes of a filing made through IARD, a document is considered filed with the Securities Commissioner when all fees are received and the filing is accepted by IARD on behalf of the Securities Commissioner.
C. Notwithstanding subsection B. of this Rule, the electronic filing of any particular document and the collection of related processing fees, if any, shall not be required until such time as IARD provides for receipt of such filings and fees and 30 days notice is provided by the Securities Commissioner. The notice provided by the Securities Commissioner may set the effective date for any such electronic filing. Any documents or fees required to be filed with the Securities Commissioner that are not permitted to be filed with or cannot be accepted by IARD shall be filed directly with the Securities Commissioner.
D. Investment advisers or investment adviser representatives licensed or required to be licensed in Colorado who experience unanticipated technical difficulties that prevent submission of an electronic filing to IARD may request a temporary hardship exemption from the requirements to file electronically, upon compliance with the following conditions:
1. File Form ADV-H in paper format with the Securities Commissioner no later than one business day after the filing subject to the Form ADV-H was due; and
2. Submit the filing that is the subject of the Form ADV-H in electronic format to IARD no later than seven (7) business days after the filing was due.

The hardship exemption will be deemed effective upon receipt by the Securities Commissioner of the complete Form ADV-H, and only for the period provided in this paragraph F. Multiple temporary hardship exemption requests within the same calendar year may be disallowed by the Securities Commissioner.

3 CCR 704-1-51-4.1(IA)

38 CR 01, January 10, 2015, effective 1/30/2015
38 CR 08, April 25, 2015, effective 6/1/2015
38 CR 18, September 25, 2015, effective 10/15/2015
39 CR 01, January 10, 2016, effective 1/30/2016
40 CR 01, January 10, 2017, effective 1/30/2017
40 CR 12, June 25, 2017, effective 7/15/2017
41 CR 13, July 10, 2018, effective 7/31/2018
43 CR 05, March 10, 2020, effective 3/30/2020
46 CR 05, March 10, 2023, effective 3/30/2023