Rule 204-1

LAWS & RULES

- 201. Findings
- 202. Definitions
- 203. Registration of Investment
      - Advisers
- 203A. State and Federal
- 204. Annual and Other Reports
- 204A. Prevention of Misuse of
      - Nonpublic Information
- 205. Investment Advisory
      - Contracts
- 206. Prohibited Transactions by
      - Investment Advisers
- 206A. Exemptions
- 207. Material Misstatements
- 208. General Prohibitions
- 209. Enforcement of Title
- 210. Publicity
- 211. Rules, Regulations and
      - Orders
- 212. Hearings
- 213. Court Review of Orders
- 214. Jurisdiction of Offenses
      - and Suits
- 215. Validity of Contracts
- 216. Annual Reports of
      - Commission
- 217. Penalties
- 218. Hiring and Leasing Authority
      - of the Commission
- 219. Separability of Provisions
- 220. Short Title
- 221. Effective Date
- 222. State Regulation of
      - Investment Advisers

Rule 204-1

Amendments to Application for Registration

(a) Every investment adviser whose registration with the Commission is effective on the last day of its fiscal year shall, within 90 days of the end of its fiscal year, unless its registration has been withdrawn, cancelled, or revoked prior to that day, file:

(1) Schedule I to Form ADV [17 CFR 279.1];

(2) A balance sheet if the balance sheet is required by Item 14 of Part II of Form ADV [17 CFR 279.1]; and

(3) An executed page one of Part I of Form ADV [17 CFR 279.1].

(b)

(1) If the information contained in the response to Items 1, 2, 3, 4, 5, 8, 11, 13A, 13B, 14A and 14B of Part I of any application for registration as an investment adviser, or in any amendment thereto, becomes inaccurate for any reason, or if the information contained in response to any question in Items 9 and 10 of Part I, all of Part II (except Item 14), and all of Schedule H of any application for registration as an investment adviser, or in any amendment thereto, becomes inaccurate in a material manner, the investment adviser shall promptly file an amendment on Form ADV [17 CFR 279.1] correcting the information.

(2) For all other changes not designated in paragraph (b)(1) of this section, the investment adviser shall file an amendment on Form ADV [17 CFR 279.1] updating the information together with the amendments required by paragraph (a) of this section.