3 AAC 08.018 - Amendments to filings

(a) A person registered under this chapter shall promptly file with the administrator amendments to the person's filings to ensure that information remains current and correct in the files of the administrator. The amendments required to be filed with the administrator under this section include amendments to SEC Form BD, SEC Form ADV, or NASDR Form U-4.

(b) A federal covered adviser shall file with the administrator a copy of any amendment to SEC Form ADV at the same time that the person files an amendment with the SEC.

(c) If a material change as set out in 3 AAC 08.050(a) -(b) occurs, a person registered under this chapter or a federal covered adviser shall file with the administrator an amendment as required in 3 AAC 08.050(b).

Notes

3 AAC 08.018

Eff. 10/1/99, Register 151; am 4/19/2000, Register 154

Authority:AS 45.55.040

AS 45.55.050

AS 45.55.950