Haw. Code R. § 16-39-441

Current through April, 2024
Section 16-39-441 - Expiration, renewal, termination of registration
(a) All registrations shall automatically expire on December 31 of each year (unless sooner terminated in accordance with chapter 485A, HRS, and this chapter) and shall be renewed as provided in this section. An investment adviser shall be responsible for renewing the registration of its investment adviser representatives at the time the investment adviser renews its registration. An investment adviser shall renew its registration with the commissioner by filing the renewal documents and fees through the IARD. The renewal documents shall include:
(1) All amendments to Form ADV and Form U-4 that have not previously been filed with the commissioner;
(2) The renewal fee as set forth in section 16-39-103 for the investment adviser and for each investment adviser representative renewing a registration.
(b) An application for renewal registration shall not be considered filed until the required fee and all required submissions have been received by the commissioner.
(c) A copy of all amendments to Form ADV that have previously been filed shall be submitted directly to the commissioner.
(d) Where registrations are permitted to expire on December 31 without the filing of a renewal application, a subsequent application shall be considered in all respects as an initial application.
(e) Registration may be terminated prior to the expiration date by filing a Form ADV-W with the commissioner or through the IARD. Termination of the investment adviser's registration for any reason shall automatically terminate the registration of each registered investment adviser representative of the investment adviser.

Haw. Code R. § 16-39-441

[Eff 6/30/08] (Auth: HRS §§ 485A-406, 485A-606) (Imp: HRS § 485A-606)
Comp 11/18/2023