How does my firm renew its FCA notice filing in Alaska (3 AAC 08.014(d))?
Your firm may renew its notice filing by providing no later than December 1 of each year the following: • A letter notice of intent to continue providing investment advisory services as an FCA, including the current address and phone number of the home office; • A current signed Page 1 of Form ADV as filed with the SEC; • A copy of the most recent Schedule I of Form ADV, as filed with the SEC. • A list of names and CRD numbers (if applicable) of all currently registered IAR’s to be renewed (if none, please so state); • A current U-4 for each IAR to be renewed which shows any changes from the U-4 previously submitted; • A list of names and CRD numbers (if applicable) of any new IAR applicant s having a place of business in Alaska; • A complete, current, and signed U-4 for each new IAR having a place of business in Alaska; • Evidence that each new IAR has satisfied the qualification requirements of 3 AAC 08.
Your firm may renew its notice filing by providing no later than December 1 of each year the following: • A letter notice of intent to continue providing investment advisory services as an FCA, including the current address and phone number of the home office; • A current signed Page 1 of Form ADV as filed with the SEC; • A copy of the most recent Schedule I of Form ADV, as filed with the SEC.
Related Questions
- Section 2 (Registration/Notice Filing/Type of Office) asks the firm to report the name and/or CRD # of each supervisor(s)/person(s)-in-charge. Must the firm report a supervisor or person-in-charge for every branch office?
- What are the initial notice filing requirements in Alaska (3 AAC 08.011(m)) for a Federal Covered Adviser (FCA)?
- How does my firm renew its FCA notice filing in Alaska (3 AAC 08.014(d))?
