Md. Code Regs. 02.02.05.19

Current through Register Vol. 51, No. 12, June 14, 2024

Section 02.02.05.19 - Withdrawal of Investment Adviser and Investment Adviser Representative Registrations

A. Investment Adviser. An application for withdrawal of registration or of an application to register as an investment adviser shall be made by completing Form ADV-W (Notice of Withdrawal from Registration as Investment Adviser) in accordance with the form instructions and by filing the form with the IARD.

B. Investment Adviser Representative. An application for withdrawal of registration or of an application to register as an investment adviser representative shall be made by completing Form U-5 (Uniform Notice of Withdrawal of Securities Industry Registration) in accordance with the form instructions and by filing the form with the IARD.

C. Filings required by §A or B of this regulation shall be filed within 30 days of the event giving rise to the filing.

Md. Code Regs. 02.02.05.19

Regulations .19 adopted as an emergency provision effective October 1, 1992 (19:17 Md. R. 1602); emergency status extended at 19:24 Md. R. 2123; adopted permanently effective December 7, 1992 (19:24 Md. R. 2125)