Authority: IC 23-19-6-5

Affected: IC 23-19

Sec. 2. (a) An application for registration as an investment adviser representative under IC 23-19 shall be filed on a Form U-4, the Uniform Application for Securities Industry Registration or Transfer, or any successor form, with the commissioner or with a central registration depository system designated by the commissioner. The application shall include the following:

1. (1) Proof of compliance by the investment adviser representative with the examination requirements of section 6 of this rule unless exempted herein.
2. (2) The fee required under IC 23-19.
3. (3) Consent to service of process required under IC 23-19.
4. (4) Any other information required by IC 23-19 or these rules or requested by the commissioner.

(b) An application for renewal registration for an investment adviser representative must be filed with the commissioner or with a central registration depository system designated by the commissioner no later than December 31 of each year. The application must:

1. (1) be accompanied by the fee required under IC 23-19; and
2. (2) include any amendments to Form U-4, prepared in accordance with section 16 of this rule.

(Securities Division; 710 IAC 4-9-2; filed Jun 28, 2010, 2:36 p.m.: 20100728-IR-710100044FRA; readopted filed May 12, 2016, 1:47 p.m.: 20160608-IR-710160136RFA; readopted filed Nov 30, 2022, 4:01 p.m.: 20221228-IR- 710220301RFA)