Section 26-B153. DUTY TO AMEND INFORMATION PREVIOUSLY FILED

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153.1If the information contained in Form ADV for a license as an investment adviser or investment adviser representative, or any amendment thereto, is or becomes inaccurate or incomplete in any material respect for any reason, the applicant or registrant shall promptly file a correcting amendment with the IARD. An investment adviser shall file an amendment with the Department on Form ADV, prior to the implementation of the IARD system.

153.2In the case of any statement made in Form ADV or related exhibit(s) which becomes incorrect or inaccurate, the investment adviser shall file with the Department as an amendment on Form ADV.

source

Final Rulemaking published at 40 DCR 6732 (September 24, 1993); as amended by Emergency Rulemaking published at 48 DCR 1987 (March 2, 2001) [EXPIRED]; as amended by Final Rulemaking published at 48 DCR 4106 (May 11, 2001).

                    
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