44-3156. Application for licensure as
investment adviser representative
A. Any individual may apply for licensure as an investment adviser representative.
An application for licensure as an investment adviser representative shall be signed by
the applicant and by the licensed or federal covered adviser employing or intending to
employ the applicant.
B. An application for licensure as an investment adviser representative shall be
filed with the commission through the IARD. If the IARD does not provide for receipt of a
filing, the filing may be made with the commission by mail or any other reasonable method
that is acceptable to the commission.
C. An application for licensure shall include the following, together with other
information the commission prescribes:
1. A completed form U-4 or any other form as the director may designate. An
applicant that has a current form U-4 filed with this state may submit a brief written
request for licensure with the commission.
2. Proof of compliance with written examination requirements.
3. If the applicant's fingerprints are not on file with the division, the CRD
system or the IARD, a full set of fingerprints. The commission shall submit the
fingerprints to the department of public safety for the purpose of obtaining a state and
federal criminal records check pursuant to section 41-1750 and Public Law 92-544. The
department of public safety may exchange this fingerprint data with the federal bureau of
investigation.
D. An application for licensure as an investment adviser representative shall be
accompanied by payment of the licensure fee prescribed in section 44-3181.
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