Illinois Administrative Code
Title 14 - COMMERCE
Part 130 - REGULATIONS UNDER ILLINOIS SECURITIES LAW OF 1953
Subpart H - REGISTRATION OF DEALERS, SALESPERSONS, INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES
Section 130.837 - Transition to Electronic Filing

Universal Citation: 14 IL Admin Code ยง 130.837

Current through Register Vol. 48, No. 12, March 22, 2024

a) On or before November 1, 2002, each investment adviser who is registered or required to be registered shall submit its Form ADV with the NASD, utilizing the IARD, unless it has been granted a hardship exemption.

b) On or before November 1, 2002, each registered investment adviser or federal covered investment adviser shall file with the NASD, utilizing the IARD, a complete Form U-4 for each investment adviser representative who is registered or required to be registered, unless the investment adviser has been granted a hardship exemption.

c) After November 1, 2002, filing shall be in accordance with Sections 130.838 and 130.839 of this Part.

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