Tag Archives: Minnesota Investment Advisor Representative

Minnesota Investment Adviser Representatives Required to Register

November 20, 2013

As we have discussed in previous articles, effective August 31, 2013, Minnesota law requires registration for investment adviser representatives.  An Order dated October 31, 2013, has been issued by the Minnesota Department of Commerce regarding the “Implementation of Registration Process for Investment Adviser Representatives.”  According to this Order, the initial registration period in Minnesota for investment adviser representatives is November 1, 2013 through January 31, 2014.  Under Minnesota law, the application for initial registration as an investment adviser representative is made by completing Form U4 and filing the Form U4 with the IARD.  The application for initial registration must also include proof of compliance by the investment adviser representative with the following examination requirements:

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