Author: Jeffrey Lang
State Regulators to Require Licensing for Investment Adviser Representatives Displaced by COVID-19
Posted in Investment Management & Securities
Many investment adviser representatives (“IARs”) employed by or associated with state-registered and SEC-registered/“federal covered” investment advisers have been required to conduct business from their home or other temporary office location in the face of COVID-19. If those displaced IARs are not currently licensed by the states where they are temporarily… Continue reading
