If an investment adviser firm becomes a federally registered investment adviser firm, a notice filing is required (see M.S. 80A.04).
$100 annual fee, payable and sent to FINRA
Forms are available through the FINRA Investment Adviser Registration Depository (IARD)
Form ADV; page 1 must be manually signed, dated and notarized.
Firms with fewer than six clients in Minnesota are not required to file.
Annual renewals are due on December 31 through CRD. Renewal notification will be sent by the IARD/FINRA.