Statutes, codes, and regulations
Delaware Administrative Code
Title 6 - Attorney General's OfficeFraud and Consumer Protection DivisionInvestor Protection UnitRules Pursuant to the Delaware Securities Act
Part G - Investment Advisers and Investment Adviser Representatives
Section 200-G-701 - Registration of Investment Adviser Representatives

6 Del. Admin. Code § 200-G-701

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Current through Reigster Vol. 28, No. 6, December 1, 2024
Section 200-G-701 - Registration of Investment Adviser Representatives
(a) A person applying for a license as an investment adviser representative in Delaware shall make application for such license on Form U-4 (Uniform Application for Securities Industry Registration or Transfer). Amendments to such application shall also be made on Form U-4.
(d) For the purposes of Section 73-302(a) of the Act, an application will not be deemed complete until a investment adviser representative is also registered through CRD with the principal state in which the investment adviser representative does business (if registration in such state is required by that state), or at the discretion of the Director.
(e) An application for registration will not be effective until the registration has been approved by the Unit on CRD.

6 Del. Admin. Code § 200-G-701

4 DE Reg. 510 (9/1/00)
15 DE Reg. 529 (10/01/11)
18 DE Reg. 394 (11/1/2014) (Final)