Do the SEC registered investment advisers need to register their investment adviser representatives in Indiana?

Published 08/12/2009 12:32 PM   |    Updated 12/27/2013 03:34 PM
Do the SEC registered investment advisers need to register their investment adviser representatives in Indiana?

* Yes - If an individual works for an SEC-registered firm which is Notice Filled in Indiana, AND (1) individual has a place of business in Indiana, AND (2) individual meets the federal / SEC definition of investment adviser representative, OR individual is not a supervised person, then registration is required.

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