6.10.511    NOTICE FILING REQUIREMENTS FOR FEDERAL COVERED ADVISERS

(1) The notice filing for a federal covered adviser pursuant to 30-10-201, MCA, shall be filed with the commissioner, or with a central registration depository designated by the commissioner on an executed Form ADV (uniform application for investment adviser registration (17 CFR 279.1 (1998)) and shall include:

(a) the consent to service of process required by 30-10-208, MCA, unless incorporated by reference by ARM 6.10.150; and

(b) the fee required under 30-10-209, MCA.

(2) A federal covered adviser shall file with the commissioner a copy of each amendment to its Form ADV when such amendment is filed with the Securities and Exchange Commission.

(3) The renewal of the notice filing for a federal covered adviser pursuant to 30-10-209(2)(c), MCA, shall be filed upon the first page of an executed Form ADV (uniform application for investment adviser registration (17 CFR 279.1 (1998)), and shall contain the fee required under 30-10-209, MCA. Such filing shall be accompanied by amendments or documents filed with the Securities and Exchange Commission that have not previously been provided to the commissioner.

History: 30-10-107, MCA; IMP, 30-10-201, MCA; NEW, 1999 MAR p. 56, Eff. 1/15/99; TRANS and AMD, from ARM 6.10.145, 2008 MAR p. 2046, Eff. 9/26/08.