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Arkansas SEC Registered Investment Adviser Firms Notice Filing Registration Requirements

Category:
Arkansas Secretary of State - Blue Sky
State:
Arkansas
Control #:
AR-BS-IN-RR
Format:
Word
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Description

SEC Registered Investment Adviser Firms Notice Filing Registration Requirements Arkansas SEC Registered Investment Adviser Firms Notice Filing Registration Requirements consist of two different types of filings: Form ADV and Form U4. Form ADV is a disclosure document that investment advisers must file with the Securities and Exchange Commission (SEC). It is a comprehensive document that outlines the services the investment adviser provides, the fees they charge, any conflicts of interest, and other important information about the firm. Form U4 is a Uniform Application for Securities Industry Registration or Transfer, which must be filed with the SEC when a new investment adviser is registered or an existing adviser is transferring its registration. Form U4 includes information on the investment adviser’s business, background, and qualifications. In order to be registered as an investment adviser in Arkansas, investment advisers must submit both Form ADV and Form U4 to the Arkansas Securities Commissioner. All investment advisers must also be registered with the SEC and comply with any applicable state laws.

Arkansas SEC Registered Investment Adviser Firms Notice Filing Registration Requirements consist of two different types of filings: Form ADV and Form U4. Form ADV is a disclosure document that investment advisers must file with the Securities and Exchange Commission (SEC). It is a comprehensive document that outlines the services the investment adviser provides, the fees they charge, any conflicts of interest, and other important information about the firm. Form U4 is a Uniform Application for Securities Industry Registration or Transfer, which must be filed with the SEC when a new investment adviser is registered or an existing adviser is transferring its registration. Form U4 includes information on the investment adviser’s business, background, and qualifications. In order to be registered as an investment adviser in Arkansas, investment advisers must submit both Form ADV and Form U4 to the Arkansas Securities Commissioner. All investment advisers must also be registered with the SEC and comply with any applicable state laws.

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