Statutes, codes, and regulations
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 704-1-51-4.2(IA) - Notice Filing from a Federal Covered Adviser

3 Colo. Code Regs. § 704-1-51-4.2(IA)

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Current through Register Vol. 47, No. 20, October 25, 2024
Section 3 CCR 704-1-51-4.2(IA) - Notice Filing from a Federal Covered Adviser
A. The notice filing for a federal covered adviser pursuant to section 11-51-403(3), C.R.S., shall be filed with IARD on an executed Form ADV (Uniform Application for Investment Adviser Registration). A notice filing of a federal covered adviser shall be deemed filed when the fee required by section 11-51-403(4), C.R.S., and the Form ADV are filed with and accepted by IARD on behalf of the Securities Commissioner.
B. Until IARD provides for the filing of Part 2 of Form ADV, the Securities Commissioner will deem filed Part 2 of Form ADV if a federal covered adviser provides, within 5 days of a request from the Securities Commissioner, Part 2 of Form ADV. Because the Securities Commissioner deems Part 2 of the Form ADV to be filed, a federal covered adviser is not required to submit Part 2 of Form ADV to the Securities Commissioner unless requested.
C. The annual renewal of the notice filing for a federal covered adviser pursuant to section 11-51-403, C.R.S., shall be filed with IARD. The renewal of the notice filing for a federal covered adviser shall be deemed filed when the fee required by section 11-51-403(4), C.R.S., is submitted to and accepted by IARD on behalf of the Securities Commissioner.
D. A federal covered adviser must file with IARD, in accordance with the instructions in the Form ADV, any amendments to the federal covered adviser's Form ADV.
E. A federal covered adviser must also file a Consent to Service of Process form (see Rule 51-7.1) with the Securities Commissioner.

3 CCR 704-1-51-4.2(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