Wash. Admin. Code § 460-24A-020

Current through Register Vol. 24-20, October 15, 2024

Section 460-24A-020 - Investment adviser representatives employed by federal covered advisers

If you are an individual employed by or associated with a federal covered adviser you are an "investment adviser representative," as defined under RCW 21.20.005, if you have a "place of business" in this state, as that term is defined under section 203A of the Investment Advisers Act of 1940, and:

(1) You are an "investment adviser representative" as that term is defined in rules or regulations promulgated under the Investment Advisers Act of 1940 by the U.S. Securities and Exchange Commission; or

(2) You solicit, offer, or negotiate for the sale of or sell investment advisory services on behalf of a federal covered adviser, but are not a "supervised person" as that term is defined under the Investment Advisers Act of 1940.

Wash. Admin. Code § 460-24A-020

Amended by WSR 14-13-068, Filed 6/12/2014, effective 7/13/2014

Statutory Authority: RCW 21.20.450. 12-10-051, § 460-24A-020, filed 4/30/12, effective 5/31/12. Statutory Authority: RCW 21.20.450, 21.20.050, 21.20.100. 01-16-125, § 460-24A-020, filed 7/31/01, effective 10/24/01.