18 NCAC 06A .1710          TERMINATION/WITHDRAWAL/INVESTMENT ADVISER REGISTRATIONS

(a)  Investment advisers.  The application for withdrawal of registration as an investment adviser pursuant to Section 78C‑19(e) of the Act shall be completed by following the instructions on Form ADV‑W (Notice of Withdrawal from Registration as Investment Adviser) (17 C.F.R. 279.2) and filed upon Form ADV-W with IARD. 

(b)  Investment adviser representatives.  The application for withdrawal of registration as an investment adviser representative pursuant to Section 78C-19(e) of the Act shall be completed by following the instructions on Form U-5 (Uniform Termination Notice for Securities Industry Registration) and filed upon Form U-5 with IARD.

 

History Note:        Authority G.S. 78C‑16(b); 78C‑19(e); 78C-20; 78C‑30(a); 78C‑30(b);

Temporary Rule Eff. January 2, 1989 for a Period of 180 Days to Expire on June 30, 1989;

Eff. February 1, 1989;

Temporary Amendment Eff. January 14, 2002;

Amended Eff. April 1, 2003;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 6, 2016.