SECTION 660:11-7-16. Solicitor exemption

Latest version.

By authority delegated to the Administrator in Section 1-404.B.2 of the Securities Act, an individual whose only activity on behalf of an investment adviser is to solicit clients for same is exempt from the requirement to register as an investment adviser representative of such investment adviser if the individual is separately registered as an investment adviser representative of another investment adviser or is individually registered as an investment adviser.

[Source: Added at 21 Ok Reg 2532, eff 7-1-04]

                    
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