WAC 460-24A-205   Notice of changes by investment advisers and investment adviser representatives.  (1) Each licensed investment adviser must:

     (a) Promptly file with IARD, in accordance with the instructions to Form ADV, any amendments to its Form ADV. An amendment will be considered promptly filed if it is filed within thirty days of the event that requires the filing of the amendment; and

     (b) File an updated Form ADV with IARD within ninety days of the end of the investment adviser's fiscal year.

     (2) Each investment adviser representative has a continuing obligation to update the information required by Form U-4 as changes occur and must promptly file with IARD any amendments to the representative's Form U-4. An amendment will be considered promptly filed if it is filed within thirty days of the event that requires the filing of the amendment.



[Statutory Authority: RCW 21.20.450, 21.20.050, 21.20.100. 01-16-125, § 460-24A-205, filed 7/31/01, effective 10/24/01. Statutory Authority: RCW 21.20.450 and 21.20.040(2). 90-13-029, § 460-24A-205, filed 6/12/90, effective 7/13/90. Statutory Authority: RCW 21.20.450. 85-23-063 (Order SDO-220-85), § 460-24A-205, filed 11/19/85; 85-16-068 (Order SDO-128-85), § 460-24A-205, filed 8/1/85; Order 304, § 460-24A-205, filed 2/28/75, effective 4/1/75. Formerly chapter 460-24 WAC.]