The purpose of this memorandum is to review certain reporting and disclosure requirements, and certain restrictions that may limit the disposition of securities of the company held by its officers, directors and principal shareholders, which are imposed by the Securities Act of 1933, the Securities and Exchange Act of 1934, and the rules of the Securities and Exchange Commission thereunder. This memorandum is prepared for the management of the company and should be treated as a confidential communication between the company and its counsel.
Arkansas Limitation on Disposition of Securities Memorandum
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US-TC1015
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FAQ
An investment adviser is an individual or company who's paid for providing advice about securities to their clients.
The statute of limitations for an administrator taking action is five years. An investor who sues for a violation of the Uniform Securities Act is entitled to receive: The value that they paid for the securities minus any income received during the holding period (for example, dividends)
De Minimis. Our definition of IA excludes a person with no place of business in Arkansas that has had fewer than six (6) clients that are residents of Arkansas, other than institutional investors, during the preceding twelve-month period. VI.
De minimis rule Investment advisers can avoid registration in a state if these two conditions are met: No place of business in the state. Maintains 5 or fewer retail clients in a 12-month period.
Most states require RIAs to have a net worth of at least $35,000 if they have actual custody of client funds and $10,000 if they do not; RIAs who fail to meet this requirement must post a surety bond. (The rules for this requirement, as well as several other aspects of registration, vary from state to state.)