Mississippi Administrative Code
Title 1 - Secretary of State
Part 14 - Securities Regulation
Chapter 6 - INVESTMENT ADVISERS
Rule 1-14-6.17 - Change of Material Information; Amendment
Current through March 14, 2024
The Division shall be notified within thirty (30) days whenever the information contained in any application or amendment for registration as an investment adviser or representative changes in a material way or is or becomes inaccurate or incomplete in any respect. Events requiring notification shall include, but are not limited to, the following:
A. Change in firm name, ownership, management, or control of an investment adviser, or a change in any of its partners, officers, or persons in similar positions, or its business address, or the creation or termination of a branch office in this state. Notice of such change shall be filed with IARD, in accordance with the instructions in Form ADV along with a satisfactory rider or endorsement to the required surety bond.
B. Change in type of entity, general plan, or character of an investment adviser's business or method of operation.
C. Insolvency, dissolution, liquidation, or a material adverse change or impairment of working capital, or noncompliance with the minimum capital or bond requirements.
D. Termination of business or discontinuance of activities as an investment adviser.
E. The naming of an investment adviser, investment adviser representative, principal, officer, and/or employee as a defendant or respondent in one or more of the following instances:
Miss. Code Ann. § 75-71-406(b) (2020).