Cal. Code Regs. Tit. 10, § 260.230 - Electronic Filings

(a) Designation: The Commissioner designates the web-based Investment Adviser Registration Depository ("IARD") operated by the Financial Industry Regulatory Authority to receive and store filings and collect related fees from investment advisers and investment adviser representatives on behalf of the Commissioner.

(b) Use of IARD: All investment adviser and investment adviser representative applications, amendments, reports, notices, related filings and fees required to be filed with the Commissioner pursuant to the rules promulgated under the Code shall be filed electronically with and transmitted to IARD, except as otherwise indicated in these rules. The following conditions relate to such electronic filings:

(1) Electronic Signature: When a signature or signatures are required by the particular instructions of any filing to be made through IARD, a duly authorized officer of the applicant or the applicant him or herself, as required, shall affix his or her electronic signature to the filing by typing his or her name in the appropriate fields and submitting the filing to IARD. Submission of a filing in this manner shall constitute irrefutable evidence of legal signature by any individuals whose names are typed on the filing.

(2) When filed: Solely for purposes of a filing made through IARD, unless otherwise specified, a document is considered filed with the Commissioner when all fees are received and the filing is accepted by IARD on behalf of the state.

(3) Any documents required to be filed with the Commissioner that are not permitted to be filed with or cannot be accepted by IARD shall be filed in paper directly with the Commissioner.

Notes

Cal. Code Regs. Tit. 10, § 260.230

1. New section filed 3-4-2003; operative 4-3-2003 (Register 2003, No. 10).
2. Amendment of subsection (b) and NOTE filed 3-6-2007; operative 4-5-2007 (Register 2007, No. 10).
3. Amendment of subsection (a) filed 11-10-2009; operative 12-10-2009 (Register 2009, No. 46).

Note: Authority cited: Sections 25231, 25610 and 25612.5, Corporations Code. Reference: Section 1633.7, Civil Code; and Sections 25231 and 25612.5, Corporations Code.

1. New section filed 3-4-2003; operative 4-3-2003 (Register 2003, No. 10).
2. Amendment of subsection (b) and Note filed 3-6-2007; operative 4-5-2007 (Register 2007, No. 10).
3. Amendment of subsection (a) filed 11-10-2009; operative 12-10-2009 (Register 2009, No. 46).