Filings for Rule Number 1301:6-3-15.1

Title Application for investment adviser's license; responsibilities of licensed investment adviser.
Agency Department of Commerce
Division Division of Securities
Contact Kelly Kauffman
Phone 614-644-7293

Actions

Public Notice
RSFA Analysis
Rule
Appendices
Hearing Summary Reports
CSI Business Impact Analysis
CSI Recommendation
CSI Agency Memorandum
    of Response
Title File Date Action Type Class Hearing Eff Date Exp Date FYR Documents
No Current Actions
Title File Date Action Type Class Hearing Eff Date Exp Date FYR Documents
Application for investment adviser's license; responsibilities of licensed investment adviser. 09/20/2021 Final File Amendment 119.03 09/30/2021 Y
Rule Body
CSI Business Impact Analysis
CSI Recommendation
CSI Agency Memorandum of Response
Application for investment adviser's license; responsibilities of licensed investment adviser. 08/16/2021 Refile Amendment 119.03 Y
RSFA Analysis
Rule Body
CSI Business Impact Analysis
CSI Recommendation
CSI Agency Memorandum of Response
Application for investment adviser's license; responsibilities of licensed investment adviser. 08/06/2021 Refile Amendment 119.03 Y
RSFA Analysis
Rule Body
CSI Business Impact Analysis
CSI Recommendation
CSI Agency Memorandum of Response
Application for investment adviser's license; responsibilities of licensed investment adviser. 08/06/2021 Withdraw Final Amendment 119.03 Y
Rule Body
CSI Business Impact Analysis
CSI Recommendation
CSI Agency Memorandum of Response
Application for investment adviser's license; responsibilities of licensed investment adviser. 07/20/2021 Final File Amendment 119.03 09/30/2021 Y
Rule Body
CSI Business Impact Analysis
CSI Recommendation
CSI Agency Memorandum of Response
Application for investment adviser's license; responsibilities of licensed investment adviser. 06/17/2021 Refile Amendment 119.03 Y
RSFA Analysis
Rule Body
CSI Business Impact Analysis
CSI Recommendation
CSI Agency Memorandum of Response
Application for investment adviser's license; responsibilities of licensed investment adviser. 06/02/2021 Revise Amendment 119.03 Y
RSFA Analysis
Rule Body
Hearing Summary Report
CSI Business Impact Analysis
CSI Recommendation
CSI Agency Memorandum of Response
Application for investment adviser's license; responsibilities of licensed investment adviser. 05/06/2021 Original File Amendment 119.03 06/01/2021 Y
Public Notice
RSFA Analysis
Rule Body
CSI Business Impact Analysis
CSI Recommendation
CSI Agency Memorandum of Response
Application for investment adviser's license; responsibilities of licensed investment adviser. 09/16/2015 Final File Amendment 119.03 09/26/2015 Y
Rule Body
CSI Business Impact Analysis
CSI Recommendation
CSI Agency Memorandum of Response
Application for investment adviser's license; responsibilities of licensed investment adviser. 06/08/2015 Original File Amendment 119.03 07/09/2015 Y
Public Notice
RSFA Analysis
Rule Body
CSI Business Impact Analysis
CSI Recommendation
CSI Agency Memorandum of Response
Application for investment adviser's license; responsibilities of licensed investment adviser. 08/27/2009 No Change No Change 119.03 Y
RSFA Analysis
Rule Body
Application for investment adviser's license; responsibilities of licensed investment adviser. 01/05/2009 Final File Amendment 119.03 01/15/2009 N
Rule Body
Application for investment adviser's license; responsibilities of licensed investment adviser. 10/31/2008 Original File Amendment 119.03 12/08/2008 N
Public Notice
RSFA Analysis
Rule Body
Application for investment adviser's license; responsibilities of licensed investment adviser. 07/26/2007 Final File Amendment 119.03 08/05/2007 N
Rule Body
Application for investment adviser's license; responsibilities of licensed investment adviser. 05/21/2007 Original File Amendment 119.03 06/27/2007 N
Public Notice
RSFA Analysis
Rule Body
Application for investment adviser's license; responsibilities of licensed investment adviser. 06/16/2006 Final File Amendment 119.03 07/03/2006 N
Rule Body
Application for investment adviser's license; responsibilities of licensed investment adviser. 04/11/2006 Original File Amendment 119.03 05/17/2006 N
Public Notice
RSFA Analysis
Rule Body
Application for investment adviser's license; responsibilities of licensed investment adviser. 11/15/2004 Final File Amendment 119.03 11/25/2004 Y
Rule Body
Application for investment adviser's license; responsibilities of licensed investment adviser. 09/10/2004 Original File Amendment 119.03 10/19/2004 Y
Public Notice
RSFA Analysis
Rule Body
Application for investment adviser's license; responsibilities of licensed investment adviser. 04/26/2004 Final File Amendment 119.03 05/07/2004 Y
Rule Body
Application for investment adviser's license; responsibilities of licensed investment adviser. 02/18/2004 Original File Amendment 119.03 03/23/2004 Y
Public Notice
RSFA Analysis
Rule Body
Application for investment adviser's license; responsibilities of licensed investment adviser. 07/07/2003 Final File New 119.03 07/17/2003 N
Rule Body
Application for investment adviser's license; responsibilities of licensed investment adviser. 07/07/2003 Final File Rescission 119.03 07/17/2003 N
Rule Body
Application for investment adviser's license; responsibilities of licensed investment adviser. 05/07/2003 Revise Rescission 119.03 N
RSFA Analysis
Rule Body
Application for investment adviser's license; responsibilities of licensed investment adviser. 05/01/2003 Original File Rescission 119.03 06/05/2003 06/30/2004 N
Public Notice
RSFA Analysis
Rule Body
Application for investment adviser's license; responsibilities of licensed investment adviser. 05/01/2003 Original File New 119.03 06/05/2003 N
Public Notice
RSFA Analysis
Rule Body
Public Notice
RSFA Analysis
Rule
Appendices
Hearing Summary Reports
CSI Business Impact Analysis
CSI Recommendation
CSI Agency Memorandum
    of Response
Title File Date Action Type Class Hearing Eff Date Exp Date FYR
Public Notice
RSFA Analysis
Rule
Appendices
Hearing Summary Reports
CSI Business Impact Analysis
CSI Recommendation
CSI Agency Memorandum
    of Response
Title File Date Action Type Class Hearing Eff Date Exp Date FYR
Application for investment adviser's license; responsibilities of licensed investment adviser. 09/20/2021 Final File Amendment 119.03 09/30/2021 Y
Application for investment adviser's license; responsibilities of licensed investment adviser. 08/16/2021 Refile Amendment 119.03 Y
Application for investment adviser's license; responsibilities of licensed investment adviser. 08/06/2021 Refile Amendment 119.03 Y
Application for investment adviser's license; responsibilities of licensed investment adviser. 08/06/2021 Withdraw Final Amendment 119.03 Y
Application for investment adviser's license; responsibilities of licensed investment adviser. 07/20/2021 Final File Amendment 119.03 09/30/2021 Y
Application for investment adviser's license; responsibilities of licensed investment adviser. 06/17/2021 Refile Amendment 119.03 Y
Application for investment adviser's license; responsibilities of licensed investment adviser. 06/02/2021 Revise Amendment 119.03 Y
Application for investment adviser's license; responsibilities of licensed investment adviser. 05/06/2021 Original File Amendment 119.03 06/01/2021 Y
Application for investment adviser's license; responsibilities of licensed investment adviser. 09/16/2015 Final File Amendment 119.03 09/26/2015 Y
Application for investment adviser's license; responsibilities of licensed investment adviser. 06/08/2015 Original File Amendment 119.03 07/09/2015 Y
Application for investment adviser's license; responsibilities of licensed investment adviser. 08/27/2009 No Change No Change 119.03 Y
Application for investment adviser's license; responsibilities of licensed investment adviser. 01/05/2009 Final File Amendment 119.03 01/15/2009 N
Application for investment adviser's license; responsibilities of licensed investment adviser. 10/31/2008 Original File Amendment 119.03 12/08/2008 N
Application for investment adviser's license; responsibilities of licensed investment adviser. 07/26/2007 Final File Amendment 119.03 08/05/2007 N
Application for investment adviser's license; responsibilities of licensed investment adviser. 05/21/2007 Original File Amendment 119.03 06/27/2007 N
Application for investment adviser's license; responsibilities of licensed investment adviser. 06/16/2006 Final File Amendment 119.03 07/03/2006 N
Application for investment adviser's license; responsibilities of licensed investment adviser. 04/11/2006 Original File Amendment 119.03 05/17/2006 N
Application for investment adviser's license; responsibilities of licensed investment adviser. 11/15/2004 Final File Amendment 119.03 11/25/2004 Y
Application for investment adviser's license; responsibilities of licensed investment adviser. 09/10/2004 Original File Amendment 119.03 10/19/2004 Y
Application for investment adviser's license; responsibilities of licensed investment adviser. 04/26/2004 Final File Amendment 119.03 05/07/2004 Y
Application for investment adviser's license; responsibilities of licensed investment adviser. 02/18/2004 Original File Amendment 119.03 03/23/2004 Y
Application for investment adviser's license; responsibilities of licensed investment adviser. 07/07/2003 Final File New 119.03 07/17/2003 N
Application for investment adviser's license; responsibilities of licensed investment adviser. 07/07/2003 Final File Rescission 119.03 07/17/2003 N
Application for investment adviser's license; responsibilities of licensed investment adviser. 05/07/2003 Revise Rescission 119.03 N
Application for investment adviser's license; responsibilities of licensed investment adviser. 05/01/2003 Original File Rescission 119.03 06/05/2003 06/30/2004 N
Application for investment adviser's license; responsibilities of licensed investment adviser. 05/01/2003 Original File New 119.03 06/05/2003 N