WAC 460-24A-057   Renewal of investment adviser and investment adviser representative registration -- Delinquency fees.  (1) Registration as an investment adviser or investment adviser representative may be renewed by filing the following with IARD:

     (a) Any renewal application required by IARD;

     (b) The renewal fee required by RCW 21.20.340; and

     (c) An electronically submitted Form U-4, unless:

     (i) The Form U-4 has been previously submitted to IARD electronically; or

     (ii) The investment adviser, filing on behalf of the investment adviser representative, has been granted a hardship exemption under WAC 460-24A-047(4).

     (2) For any renewal application received by IARD after the expiration date set forth in WAC 460-24A-055, but on or before March 1 of the following year, the licensee shall pay a delinquency fee in addition to the renewal fee. The delinquency fee for investment advisers shall be one hundred dollars. The delinquency fee for investment adviser representatives shall be fifty dollars.

     (3) No renewal applications will be accepted after March 1. An investment adviser or investment adviser representative may apply for reregistration by complying with WAC 460-24A-050.



[Statutory Authority: RCW 21.20.450, 21.20.050, 21.20.100. 01-16-125, § 460-24A-057, filed 7/31/01, effective 10/24/01.]