Exemption for Certain Multi-State Investment Advisers (Rule 203A-2(d))

OMB 3235-0689

OMB 3235-0689

Rule 203A-2(d) under the Investment Advisers Act of 1940 permits all investment advisers required to register as advisers with 15 or more states to register with the Commission, and requires any adviser relying on the rule to maintain in an easily accessible place a record of the states in which the investment adviser has determined it would be required to register for a period of not less that five years from the filing of a Form ADV relying on the rule.

The latest form for Exemption for Certain Multi-State Investment Advisers (Rule 203A-2(d)) expires 2023-09-30 and can be found here.

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