Md. Code Regs. 02.02.05.18

Current through Register Vol. 51, No. 24, December 2, 2024

Section 02.02.05.18 - Correction of Documents Filed by Investment Advisers and Investment Adviser Representatives

A. Scope. This regulation governs amendment filings for investment advisers and investment adviser representatives that have not yet transitioned onto the IARD. Investment advisers and investment adviser representatives that have transitioned onto the IARD shall comply with Regulations .11A(3) and .12A(3) of this chapter.

B. An amendment to an investment adviser's filings required by the Maryland Securities Act, Corporations and Associations Article, § 11-411(d), Annotated Code of Maryland, shall be filed with the Commissioner.

C. An amendment to an investment adviser representative's filings required by the Maryland Securities Act, Corporations and Associations Article, § 11-411(d), Annotated Code of Maryland, shall be filed with the Commissioner upon Form U-4.

D. An amendment required by the Maryland Securities Act, Corporations and Associations Article, § 11-411(d), Annotated Code of Maryland, shall be:

(1) Filed within 30 days of the event giving rise to the amendment; and

(2) Marked to indicate clearly the changes on the filing that is being amended.

Md. Code Regs. 02.02.05.18

Regulations .18 adopted as an emergency provision effective August 1, 1990 (17:15 Md. R. 1845)
Regulations .18 adopted as an emergency provision effective December 1, 1990 (17:26 Md. R. 2972)
Regulations .18 adopted effective March 18, 1991 (18:5 Md. R. 592)