IA- South Carolina Investment Adviser Surety Bond Form

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The SC Investment Adviser Surety Bond Form is a representation that an investment adviser must be authorized to transact business in the state of South Carolina under Regulation 13-406.  The purpose of the Surety Bond is to ensure that an investment adviser adheres to the minimum capital and bonding requirements in the state of South Carolina.  The Surety Bond protects investment adviser clients from financial loss should the adviser fail to adhere to the terms of the surety bond.  Members also downloaded South Carolina Investment Adviser/Investment Adviser Representative Registration Requirements Checklist.

Version/Update: V.U/March 2020

Total Page Count/Format: 4/.pdf

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