Section 5.08. Withdrawal of registration.

 

(1)  An application for withdrawal from the status of a registered investment adviser under s. 551.409 , Stats., shall be filed with the investment adviser registration depository on Form ADV-W.

(2)  An application for withdrawal from the status of a registered investment adviser representative shall be filed with the central registration depository on Form U-5 within 30 days of the termination of the representative's employment pursuant to s. 551.409 , Stats.

Cr. Register, December, 1977, No. 264 , eff. 1-1-78; am. (1) and (2), Register, December, 1979, No. 288 , eff. 1-1-80; am. (2), Register, December, 1982, No. 324 , eff. 1-1-83; am. Register, December, 1994, No. 468 , eff. 1-1-95; am. (2), Register, December, 1998, No. 516 , eff. 1-1-99 ; correction in (1) made under s. 13.93 (2m) (b) 7., Stats., Register, August, 1999, No. 524 ; CR 01-025 : r. and recr., Register July 2001, No. 547 eff. 8-1-01; CR 02-102 : am. (2), Register December 2002 No. 564 , eff. 1-1-03; CR 08-077 : am. Register December 2008 No. 636 , eff. 1-1-09.