RIA Compliance Blog
The Louisiana Office of Financial Institutions recently adopted amendments to the written examination requirements that enable investment adviser representatives to be registered with the Louisiana Securities Commissioner. These amendments became effective on September 1, 2016. The Office of Financial Institutions explained that the amendments were adopted to ensure that all investment advisers are properly qualified to provide investment advice to Louisiana’s citizens.
The amendments that the Office of Financial Institutions made are detailed in LAC 10:XIII.1301-1311, Investment Adviser Registration Procedure. The amendments are as follows: Continue reading ›