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6.10.145    NOTICE FILING REQUIREMENTS FOR FEDERAL COVERED ADVISERS

(1) The notice filing for a federal covered adviser pursuant to 30-10-201 , MCA, shall be filed with the commissioner or with a central registration depository designated by the commissioner on an executed Form ADV (uniform application for investment adviser registration (17 CFRE 279.1 (1998) ) and shall include:

(a) the consent to service of process required by 30-10-208 , MCA, unless incorporated by reference by ARM 6.10.150; and

(b) the fee required under 30-10-209 , MCA.

(2) A federal covered adviser shall file with the commissioner a copy of each amendment to its Form ADV when such amendment is filed with the securities and exchange commission.

(3) The renewal of the notice filing for a federal covered adviser pursuant to 30-10-209 (2) (c) , MCA, shall be filed upon the first page of an executed Form ADV (uniform application for investment adviser registration (17 CFR 279.1 (1998) ) , and shall contain the fee required under 30-10-209 , MCA. Such filing shall be accompanied by amendments or documents filed with the securities and exchange commission that have not previously been provided to the commissioner.

History: Sec. 30-10-107, MCA; IMP, Sec. 30-10-201, MCA; NEW, 1999 MAR p. 56, Eff. 1/15/99.

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