Current through Register Vol. 54, No. 25, June 22, 2024
Section 303.015 - Notice filing for Federally covered advisers(a)Format. Federally covered advisers required to file notice under section 303(a)(iii) of the act (70 P.S. § 1-303(a)(iii)) shall file the uniform application for investment adviser registration, Form ADV or successor form as filed with the Securities and Exchange Commission.(b)Initial filing. Before the Federally covered adviser conducts advisory business in this Commonwealth, the Federally covered adviser shall file a completed Form ADV accompanied by the notice filing fee required under section 602(d.1) of the act (70 P.S. § 1-602(d.1)) with the Department or with IARD.(c)Renewals. Every Federally covered adviser conducting advisory business in this Commonwealth annually shall pay a notice filing fee set forth in section 602(d.1) of the act to the Department or to IARD.The provisions of this § 303.015 adopted September 1, 2000, effective 9/2/2000, 30 Pa.B. 4551; transferred and renumbered from 64 Pa. Code § 303.015, December 14, 2012, effective 12/15/2012, 42 Pa.B. 7533; amended January 12, 2018, effective 1/13/2018, 48 Pa.B. 389.The provisions of this § 303.015 issued under sections 303(a)-(e) and 609(a) of the Pennsylvania Securities Act of 1972 (70 P.S. §§ 1-303(a)-(e) and 1-609(a)); amended under section 202.C of the Department of Banking and Securities Code (71 P.S. § 733-202.C); section 609(a) of the Pennsylvania Securities Act of 1972 (70 P.S. § 1-609(a)); and section 9(b) of the Takeover Disclosure Law (70 P.S. § 79(b)).
This section cited in 10 Pa. Code § 603.031 (relating to public inspection of records).