Iowa Admin. Code r. 191-50.30 - Electronic filing with designated entity
(1)
Designation. Pursuant to
Iowa Code sections
502406.
and
502608(3)."a," the administrator designates the lARD operated by FINRA
to receive and store filings and collect related fees from investment advisers
on behalf of the administrator
(2)
Use of lARD. Unless otherwise provided, all investment adviser
applications, amendments, reports, notices, related filings and fees required
to be filed with the administrator pursuant to the rules promulgated under the
Act shall be filed electronically with and transmitted to lARD. The following
additional conditions relate to such electronic filings:
a.
Electronic signature.
When a signature or signatures are required by the particular instructions of
any filing to be made through lARD, a duly authorized signatory of the
applicant, as required, shall affix the duly authorized signatory's electronic
signature to the filing by typing the duly authorized signatory's name in the
appropriate fields and submitting the filing to lARD. Submission of a filing in
this manner shall constitute irrefutable evidence of legal signature by any
individuals whose names are typed on the filing.
b.
When filed. Solely for
purposes of a filing made through lARD, a document is considered filed with the
administrator when all fees are received and the filing is accepted by lARD on
behalf of the state.
This rule is intended to implement Iowa Code sections 502.102(8), 502.406 and 502.608(3) "a."
Notes
State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.
No prior version found.