Washington Investment Company Notice Filing is a process by which investment companies registered with the Securities and Exchange Commission (SEC) must file a notice before engaging in certain activities, such as the sale of securities or the management of investment portfolios. There are three main types of Washington Investment Company Notice Filing: Form N-1A, Form N-2, and Form N-3. Form N-1A is the notice of registration of an investment company that is registered with the SEC. Form N-2 is the notice of post-effective amendment to the registration statement filed with the SEC. Form N-3 is the notice of the offering of securities to the public. All of these forms must be filed with the SEC and reviewed for accuracy before the investment company can engage in the activities noted in the form.
Washington Investment Company Notice Filing
Description
How to fill out Washington Investment Company Notice Filing?
US Legal Forms is the most straightforward and cost-effective way to locate suitable legal templates. It’s the most extensive web-based library of business and personal legal documentation drafted and verified by attorneys. Here, you can find printable and fillable blanks that comply with national and local laws - just like your Washington Investment Company Notice Filing.
Obtaining your template takes just a few simple steps. Users that already have an account with a valid subscription only need to log in to the website and download the form on their device. Afterwards, they can find it in their profile in the My Forms tab.
And here’s how you can obtain a professionally drafted Washington Investment Company Notice Filing if you are using US Legal Forms for the first time:
- Look at the form description or preview the document to ensure you’ve found the one meeting your requirements, or locate another one using the search tab above.
- Click Buy now when you’re certain about its compatibility with all the requirements, and judge the subscription plan you prefer most.
- Register for an account with our service, log in, and pay for your subscription using PayPal or you credit card.
- Choose the preferred file format for your Washington Investment Company Notice Filing and save it on your device with the appropriate button.
Once you save a template, you can reaccess it whenever you want - just find it in your profile, re-download it for printing and manual fill-out or import it to an online editor to fill it out and sign more proficiently.
Take advantage of US Legal Forms, your trustworthy assistant in obtaining the required formal paperwork. Try it out!
Form popularity
FAQ
If a single category of a covered product generates less than $1,000,000 each year in revenue in Washington then you are a de minimis producer.
'The De Minimis' exemption means an investment adviser is exempt from registration if they have five or fewer clients over a 12-month period with a physical address.
The Washington State Department of Financial Institutions Division of Securities initial filing fee of $40.
A federal covered advisor is an investment advisor that is registered with the SEC under the Investment Advisers Act of 1940. An investment advisor must register with the SEC if they have more than $110 million in assets under management.
The Series 6 costs $40. Once you pass Series 6, you need to register your new license with FINRA. You must also participate in FINRA's continuing education requirements and be sponsored by a FINRA-registered company in order to maintain the Series 6 license.
A securities license allows you to market and sell investments. Depending on the license you obtain, you might have a job as a registered representative, stockbroker, or investment advisor.
Series 7 License Cost The cost of the exam itself is $245. The sponsoring firm typically pays this even though the student themselves can also pay. However, this cost does not include study materials, which the candidate needs to purchase themselves.
Administered by FINRA and known as the general securities representative license, the Series 7 license authorizes you to sell virtually any type of individual security, such as preferred stocks, options, bonds, and other individual fixed income investments?plus all forms of packaged products.