Nev. Admin. Code § 90.3915 - Cessation of employment or contractual relationship with investment adviser

1. The license of a representative of an investment adviser terminates upon the withdrawal, cancellation or termination of his or her employment or contractual relationship with an investment adviser. The investment adviser shall file the Uniform Termination Notice for Securities Industry Registration (Form U-5) with the Administrator, in the manner set forth in NAC 90.3293, upon the withdrawal, cancellation or termination of his or her employment of or contractual relationship with a representative of an investment adviser.

2. A representative of an investment adviser whose employment or contractual relationship with an investment adviser ceases and who intends to transact business in this State as a representative of an investment adviser with another investment adviser must file a new application for a license, together with the required fee.

Notes

Nev. Admin. Code § 90.3915

Added to NAC by Sec'y of State, eff. 11-19-92; A 5-23-96; R016-02, 8-6-2002

NRS 90.350, 90.360, 90.750, 90.847