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  • Arkansas Investment Adviser Independent Contractor Acknowledgment

Arkansas Investment Adviser Independent Contractor Acknowledgment

Category:
Arkansas Secretary of State - Blue Sky
State:
Arkansas
Control #:
AR-BS-INDPNT
Format:
PDF
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Description

Investment Adviser Independent Contractor Acknowledgment Arkansas Investment Adviser Independent Contractor Acknowledgment is a form that recognizes and acknowledges that an independent contractor is providing investment advice services to an Arkansas investment adviser without being an employee of the company. It also provides a legal agreement between the independent contractor and the investment adviser that outlines the terms of the agreement, such as the scope of services, compensation, and indemnification. There are two types of Arkansas Investment Adviser Independent Contractor Acknowledgment: Form ADV Part 3 and Form U-4. Form ADV Part 3 is used by investment advisers to register with the Arkansas Securities Commissioner, and it requires independent contractors to provide information about their background and qualifications. Form U-4 is used by broker-dealers to register with the Arkansas Securities Commissioner, and it requires independent contractors to provide information about their background, qualifications, and any disciplinary history.

Arkansas Investment Adviser Independent Contractor Acknowledgment is a form that recognizes and acknowledges that an independent contractor is providing investment advice services to an Arkansas investment adviser without being an employee of the company. It also provides a legal agreement between the independent contractor and the investment adviser that outlines the terms of the agreement, such as the scope of services, compensation, and indemnification. There are two types of Arkansas Investment Adviser Independent Contractor Acknowledgment: Form ADV Part 3 and Form U-4. Form ADV Part 3 is used by investment advisers to register with the Arkansas Securities Commissioner, and it requires independent contractors to provide information about their background and qualifications. Form U-4 is used by broker-dealers to register with the Arkansas Securities Commissioner, and it requires independent contractors to provide information about their background, qualifications, and any disciplinary history.

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