ORDER 62005 3
%G Virgin Islands Office of the Lieutenant Governor ' Division of Banking and Insurance Kongens Gade No. 18, Charlotte Amalie, St. Thomas, USVI, 00802 » (340) 774-7166 « Fax (340) 774-9458 No. 6/2005 ORDER WHEREAS, the Lieutenant Govemor or his designee, as Administrator of the Uniform Securities Act as set forth in 9 V.LC. § 602(1) and § 661(a), may issue forms and orders pursuant to 9 V.ILC. § 665(a)(1); and WHEREAS, 9 VLC. §§ 633, 634, 635, and 636 provide requirements for the registration of investment advisers, investment adviser representatives, and the notice filing of federal covered investment advisers. NOW, THEREFORE, the premises having been considered as set forth above, and the Administrator having found that this Order, in concert with 9 V.LC. § 665, is necessary or appropriate in the public interest and is consistent with the purposes of the Uniform Securities Act; it is hereby I, A .urm U4 and all information and exhibits required by such form; 2. A filing fee of $50.00; 3. …
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%G Virgin Islands Office of the Lieutenant Governor ' Division of Banking and Insurance Kongens Gade No. 18, Charlotte Amalie, St. Thomas, USVI, 00802 » (340) 774-7166 « Fax (340) 774-9458 No. 6/2005 ORDER WHEREAS, the Lieutenant Govemor or his designee, as Administrator of the Uniform Securities Act as set forth in 9 V.LC. § 602(1) and § 661(a), may issue forms and orders pursuant to 9 V.ILC. § 665(a)(1); and WHEREAS, 9 VLC. §§ 633, 634, 635, and 636 provide requirements for the registration of investment advisers, investment adviser representatives, and the notice filing of federal covered investment advisers. NOW, THEREFORE, the premises having been considered as set forth above, and the Administrator having found that this Order, in concert with 9 V.LC. § 665, is necessary or appropriate in the public interest and is consistent with the purposes of the Uniform Securities Act; it is hereby I, A .urm U4 and all information and exhibits required by such form; 2. A filing fee of $50.00; 3. Satisfactory evidence of (i) a passing score by the applicant on the appropriate examinations or (ii) other professional eligibility criteria; and 4. Such other information as the Administrator may request of a particular applicant to determine eligibility for registration, and it is FURTHER ORDERED that a person acting as a Tederal covered _ investment adviser, that is required to file notice pursuant to 9 V.LC. § 635, shall submit to the Division of Banking and Insurance the following: 1, A Form ADV, and all information and exhibits required by such form, as submitted to the SEC; 2. A Consent to Service of Process Form; Gu + 3. An initial notice fee of $200-00; and 4. Any financial or other information that the Administrator deems appropriate. “7, ; thy Dated this /O day of February 2005 at St.Thomas, U,S. Virgin Islands. : 8 , - . Deverita Cérty Sturdivant Director Designee of the Lieutenant Governor/ Securities Administrator Pursuant to Act 6727 enacted on March 5, 2005, Cc.