IAR Registration Procedure

What this video covers

• Why the investment adviser firm (not the IAR) files Form U4 on behalf of the applicant, and how this mechanical flow differs from self-filing scenarios
• What the consent to service of process actually does: appoints the state Administrator as the IAR's agent for legal process
• Why the consent to service of process is one-time and irrevocable, and how it survives termination of registration even if the IAR leaves the industry entirely
• The precise timing of effective registration: noon on the 30th day after a complete application, absent a denial order or pending proceeding
• Why the Administrator never "approves" a registration, and why "effective" is the only correct term on the exam
• How registration of the investment adviser firm automatically constitutes registration for any IAR who is a partner, officer, or director, bypassing the 30-day wait entirely
• Common vocabulary traps including "approved," "expires at termination," and "IAR files directly" that the exam uses to test true mastery of the procedure