Securities And Exchange Commission
Transition Rule for Ohio Investment Advisers
April 1, 1999 - 64 FR 15680 - RIN: - Download Full Notice: Text | PDF
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.
Agency Contact: Jeffrey O. Himstreet, Attorney, at (202) 942-0716, Task Force on Investment Adviser Regulation, Division of Investment Management, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0506.
This rule is final. Its effective date is May 3, 1999.
Submit links with information related to this regulation and your link will appear right here on this page. Agency docs, academic and industry reports, news articles are all appropriate.
Interested in the Securities And Exchange Commission? Join the conversation in our discussions forums! Each agency has its own message board where participants discuss the latest regulatory activity, news, and gossip. Join now
No topic codes provided
OpenRegs.com is an easy-to-navigate regulatory portal. Every day, federal agencies issue dozens of rules that affect you, your business, and your family. We make it easy to keep track of proposed and final regulations and to submit comments to the agencies, so that citizens can become better informed and more involved in the regulatory process.
