As an investment adviser or federal covered adviser, do I have to register or notice file electronically?
Yes. Please see Georgia Regulation 590-4-8-.01. 2. As an investment adviser or federal covered adviser, do all my investment adviser representatives have to register? It depends upon the situation. Please see O.C.G.A. 10-5-2(a) (15), 10-5-3(b). You should review the de minimus exemption found at 10-5-3(b). If the investment adviser representative is employed by a federal covered adviser and the investment adviser representative does not have a place of business in Georgia, the registration of the investment adviser representative may not be required. If you are unclear, you should consult your own legal counsel. 3. Is there a de minimus exception? Yes. An investment adviser, federal covered adviser or investment adviser representative who during the preceding 12 months has had fewer than six Georgia clients need not register with the Securities Division. Please see O.C.G.A. 10-5-3(b). 4. Do I have to file Part II of the Form ADV when registering or making a notice filing? If you are a
Related Questions
- My firm is an SEC-registered investment adviser (a notice filer in Massachusetts). Must I register all of my representatives who provide investment advice to clients in Massachusetts?
- As a creditor, how can I register to file documents and receive notice of case activity electronically in CM/ECF?
- What are Idaho’s fees to register or notice file an investment adviser firm?
