48 Neb. Admin. Code, ch. 7, § 003

Current through September 17, 2024

Section 48-7-003 - RENEWAL AND UPDATES

003.01 An investment adviser's registration automatically expires annually on December 31. An investment adviser's registration must be renewed on or prior to that date.

003.02 An application for renewal of registration as an investment adviser pursuant to Section 8-1103 of the Act shall be filed annually as directed in Section 005, below, and contain the following information:

003.02A Financial statements as required by Section 009, below;

003.02B Specimen contracts or agreements relating to Nebraska clients;

003.02C A fee in the amount of two hundred dollars ($ 200.00); and

003.02D Any other information the Director may require.

003.03 An investment adviser shall amend Form ADV, Parts 1 and 2, including all applicable schedules and exhibits:

003.03A Annually within ninety days of the end of its fiscal year; and

003.03B Any time required by the instructions to Form ADV.

48 Neb. Admin. Code, ch. 7, § 003

Amended effective 11/27/2019