"Federal Covered Adviser" is defined, in section 61-1-13(1)(l) of the Utah Uniform Securities Act ("Act"), as "a person who is registered under Section 203 of the Investment Advisers Act of 1940 or is excluded from the definition of 'investment adviser' under Section 202(a)(11) of the Investment Advisers Act of 1940."
There are two types of investment advisory firms:
Initial Notice Filing
To file a Notice Filing a Federal Covered Adviser must file with the IARD the following (with original signatures), pursuant to Rule 164-4-6:
Notice Filing Renewal
All filings expire on December 31 of each year. To renew a filing as a Federal Covered Adviser, submit the following \ to the IARD:
Notice Filing Withdrawal