Section 5.11. Federal covered investment adviser notice filing procedure.

 

(1)  The notice filing for a federal covered investment adviser pursuant to s. 551.405 , Stats., shall be filed with the investment adviser registration depository on Form ADV. A notice filing for a federal covered investment adviser shall be deemed filed when the fee on deposit with the investment adviser registration depository has been allocated to the division. Any documents or fees required to be filed with the division that are not permitted to be filed with, or cannot be accepted by, the investment adviser registration depository shall be filed directly with the division.

(2)  A federal covered investment adviser shall file all amendments to its Form ADV with the investment adviser registration depository according to the instructions to Form ADV.

(3)  Each federal covered investment adviser seeking renewal of its notice filing shall file for renewal with the investment adviser registration depository according to the investment adviser registration depository's schedule and instructions. An application for renewal of a notice filing under this paragraph shall be deemed filed under s. 551.405 , Stats., when the fee on deposit with the investment adviser registration depository has been allocated to the division.

(4)  Each federal covered investment adviser shall pay its branch office renewal fees prescribed in s. 551.614 (2) , Stats., to the division by December 1 of each year.

emerg. cr. eff. 1-1-01; CR 01-025 : cr. Register July 2001, No. 547 eff. 8-1-01; CR 02-102 : am. (3), Register December 2002 No. 564 , eff. 1-1-03; CR 08-077 : am. (title) and (1) to (3), cr. (4) Register December 2008 No. 636 , eff. 1-1-09.