IA- Investment Adviser State Registration Requirements

Need an up-to-date comprehensive list of investment adviser state registration requirements in one location? The Updated Investment Adviser State Registration Requirements list is intended to keep firms informed of current registration requirements when preparing and applying for an initial application with state regulatory agencies.  This information is categorized by state and includes each state’s contact information, application requirements for domiciled and non-domiciled firms to include electronic filing requirements, state-specific documents, exemptions, applicable fees, and links to supporting rule references.  Members also downloaded the Investment Adviser Annual Compliance Calendar Update and Investment Adviser Quarterly Compliance Review Checklist.

Version/Update: V.8/May 31, 2022

Total Page Count/Format: 50/.pdf

Source/Author(s): Connexien