The IARD is an alternative delivery method for submitting licensing and notice filing documents and fees. Electronic filing began in January of 2001. Investment Adviser Representatives of federal covered advisers who have a place of business in North Dakota will be required to register with the Office of the Securities Commissioner. Until such time as electronic filing is available, FCAs must submit their IAR U-4s directly to our office. The notice filing and representative filing will be effective from receipt until the following December 31.
Renewal fees are the same as initial filing fees.
The Commissioner has determined that the use of the IARD will be mandatory for State licensed advisers by October 31, 2001. A fact sheet about the IARD is enclosed in this section. Affidavit of Investment Advisory Activity in North Dakota. Until such time as electronic filing is available, IAs must submit their IAR U-4s directly to our office. The IA and IAR State License registrations will be effective from the registration date until the following December 31.