Rules and Regulations
promulgated
under the
Investment Advisers Act of 1940
Rule 203A-4 -- Investment Advisers Registered with a State Securities Commission
The Commission shall not assert a violation of section
203 of the Act (or any provision of the Act to which an investment adviser
becomes subject upon registration under section 203 of the Act for the failure
of an investment adviser registered with the securities commission (or any agency
or office performing like functions) in the State in which it has its principal
office and place of business to register with the Commission if the investment
adviser reasonably believes that it does not have assets under management of at
least $ 30,000,000 and is therefore not required to register with the Commission.
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