← Independent regulator rules (SEC/Fed/FDIC/SBA/FTC/NCUA/CPSC/FHFA/EEOC/NLRB)

Transition Rule for Ohio Investment Advisers

SEC · final-rule · Published 1999-04-01 · Effective 1999-05-03 · 64 FR 15680

Document

Document number: 99-7955
Federal Register citation: 64 FR 15680
CFR reference: 17 CFR 275
Type: Rule
Action: Final rule.
Category: final-rule
Agency: US Securities and Exchange Commission
Publication date: 1999-04-01
Effective date: 1999-05-03
Docket: Release No. IA-1794

Abstract

The Securities and Exchange Commission (``Commission'') is adopting a new rule and form amendments under the Investment Advisers Act of 1940 for investment advisers that will be subject to a new Ohio investment adviser statute. The new rule provides a transition process for these investment advisers to switch from Commission to state registration.

Source

Authoritative: Federal Register document
Machine: JSON-LD · Markdown