Out Of State Regulations:
7 Tex. Admin. Code § 116.1(b)(2)(A)(iv): "[A]n investment adviser who does not have a place ofbusiness located within this state and, during the preceding 12-month period, has had fewer than six clients who are Texas residents" is exempt from registration requirements.
In State Regulations:
Not exempt, unless institutional investors, based on examiner'scomments.
Comments on this regulation:
Exemption based on an exemption to the registration requirements. Still may besubject to other rules applying to investment advisers. See 7 Tex. Admin. Code § 116.1(b) for registration requirements and exemptions.
State Regulations Website:
Click to view
7 Tex. Admin. Code § 116.1(b)(2)(A)(iv): "[A]n investment adviser who does not have a place ofbusiness located within this state and, during the preceding 12-month period, has had fewer than six clients who are Texas residents" is exempt from registration requirements.
In State Regulations:
Not exempt, unless institutional investors, based on examiner'scomments.
Comments on this regulation:
Exemption based on an exemption to the registration requirements. Still may besubject to other rules applying to investment advisers. See 7 Tex. Admin. Code § 116.1(b) for registration requirements and exemptions.
State Regulations Website:
Click to view
0 comments:
Post a Comment