Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940; Investment Advisers With Principal Offices and Places of Business in Colorado or Iowa
SEC · final-rule · Published 1998-07-24 · 63 FR 39708
Document
Document number
98-19750
Federal Register citation
63 FR 39708
CFR reference
17 CFR 275
Type
Rule
Action
Final rules.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
1998-07-24
Docket
Release No. IA-1733, File No. S7-28-97
Abstract
The Commission is adopting rule amendments under the Investment Advisers Act of 1940 to exempt multi-state investment advisers from the prohibition on Commission registration and to revise the definition of the term ``investment adviser representative.'' The Commission also is adopting amendments to Schedule I to Form ADV to reflect the enactment of investment adviser statutes in Colorado and Iowa. The rule amendments refine rules implementing the Investment Advisers Supervision Coordination Act.