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Maryland Sets Time-Table for Mandatory Filing of Part 2 of Form ADV

By Jim Hamilton

Applicants for initial investment adviser registration in Maryland must, starting October 12, 2010, submit New Part 2 of Form ADV as part of their application or amended electronic filing of Form ADV through the IARD. Persons registered or pending registration as a Maryland investment adviser on October 12, 2010 may submit necessary Form ADV amendments between October 12, 2010 and December 31, 2010, by filing either the old Part II or the new Part 2 of Form ADV. Registrants on January 1, 2011 or after must electronically submit through the IARD the new Part 2 of Form ADV, by no later than the registrant?s next filing of an amendment or annual update amendment, whichever comes first.

For more information please see http://www.oag.state.md.us/securities

Full post as published by Jim Hamilton's World of Securities Regulation on October 11, 2010 (boomark / email).