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Statement of Policy
Automatic Registration of Partners, Officers and Directors of Investment Advisers
Inquiries have been received from Investment Advisers regarding the automatic registration of Partners,
Officers or Directors of an Investment Adviser as representatives of a Registered Investment Adviser.
It is the general policy of the Commissioner to grant such automatic registration only to the top three (3)
Partners, Officers or Directors designated by the Investment Adviser.
The Commissioner requires individual representative registration of all other Partners, Officers or Directors
who fall within the definition of Investment Adviser Representative.
It should be further noted that any person relying upon automatic registration must have the qualifying
examinations or waiver under Rule 13.01.
Entered this 21st day of December, 1999
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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