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IARD Information


May 30, 2002

NOTICE OF ELECTRONIC FILING REQUIREMENTS

Pursuant to Colorado's Rule 51-4.1 (IA) effective on July 31, 2001, the Securities Commissioner may require electronic submissions of forms from federal covered advisers (FCAs), state-registered investment advisers (IAs) and investment adviser representatives at such time as the Investment Adviser Registration Depository (IARD) provides for receipt of filings and fees for such forms. The 4.0 release of the Central Registration Depository ("CRD") in March 2002 enables FCA and IA firms to apply for registration for their investment adviser representatives (noted in the computer system and on the forms as "RAs") electronically through CRD using the Form U-4 as well as to apply for withdrawal of registration for RAs through the electronic filing of the Form U-5. Now firms will be able to register RAs electronically and Colorado has been accepting voluntary electronic filings since March 2002.

 

Additionally, Rule 51-4.1(IA) requires that the Securities Commissioner provide 30 days notice of any new electronic submission requirement. As a result, and pursuant to Rule 51-4.1 (IA), you are hereby notified that the Colorado Securities Commissioner, as of June 30, 2002, mandates that investment adviser representative applications (Forms U-4 and U-5) be filed electronically via IARD/CRD and fees be paid to IARD/CRD.

 

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1560 Broadway, Suite 900, Denver, CO 80202 Email
(303) 894-2320 - Phone (303) 861-2126 - Fax