IA- West Virginia Investment Adviser Uniform Surety Bond Form U-SB

The WV Investment Adviser Uniform Surety Bond Form U-SB is a representation that an investment adviser must be authorized to transact business and complies with state and federal laws pursuant to the West Virginia Securities Act. Misuse or inappropriate handling of client funds may result in a claim on the surety bond.  Members also downloaded West Virginia Investment Adviser and Representative Registration Requirements.

Version/Update: V.U/06/2020

Total Page Count/Format: 4/.pdf

Source/Author(s): West Virginia State Auditor’s Office Securities Division