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De Minimis Exemption
If a new adviser has a "reasonable expectation" that they would be eligible for federal registration within 90
days, they should submit a notice filing in West Virginia.
Also, Advisers may claim the de minimis exemption from the notice filing requirement if they have no place of
business in this state and during any period of twelve (12) consecutive months the Adviser does not have more
than five (5) clients who are residents of this state.
Disclaimer
The West Virginia Securities Commission uses links to other Web sites for the convenience of the user. Whenever you
click on links provided, you are leaving the West Virginia Securities Commission and entering an external site. The
Security Commission cannot attest to the accuracy of the information provided by the external linked sites, nor does
the Securities Commission endorse any products or information obtained from these external sites.
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