Investment adviser representatives employed by federal covered advisers.
If you are an individual employed by or associated with a federal covered adviser you are an "investment adviser representative," as defined under RCW
21.20.005, if you have a "place of business" in this state, as that term is defined under section 203A of the Investment Advisers Act of 1940, and:
(1) You are an "investment adviser representative" as that term is defined in rules or regulations promulgated under the Investment Advisers Act of 1940 by the U.S. Securities and Exchange Commission; or
(2) You solicit, offer, or negotiate for the sale of or sell investment advisory services on behalf of a federal covered adviser, but are not a "supervised person" as that term is defined under the Investment Advisers Act of 1940.
[Statutory Authority: RCW
21.20.005,
21.20.020,
21.20.030,
21.20.040,
21.20.050,
21.20.060,
21.20.070,
21.20.080,
21.20.090,
21.20.100,
21.20.330,
21.20.340,
21.20.450, and
21.20.702. WSR 14-13-068, § 460-24A-020, filed 6/12/14, effective 7/13/14. Statutory Authority: RCW
21.20.450. WSR 12-10-051, § 460-24A-020, filed 4/30/12, effective 5/31/12. Statutory Authority: RCW
21.20.450,
21.20.050,
21.20.100. WSR 01-16-125, § 460-24A-020, filed 7/31/01, effective 10/24/01.]