IA- South Carolina Invest. Adv. Invest. Adv. Rep. Reg. Requirements Checklist

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The SC Investment Adviser/Investment Adviser Representative Registration Requirements Checklist highlights the steps necessary to register as an investment adviser & investment adviser representative in the State of South Carolina. The Checklist also details the licensing requirements and the steps required for filing electronically utilizing the FINRA IARD & Web CRD systems.  Members also downloaded South Carolina Investment Adviser Surety Bond Form.

Version/Update: V.U/March 2020

Total Page Count/Format: 2/.pdf

Source/Author(s): SC Attorney General Securities Division