If a SEC registered investment adviser only has one access person, must the access person complete personal securities transaction and holdings reports?
If a SEC registered investment adviser has only one access person, the access person is not required to submit personal securities transaction and holding reports to this same access person for approval; however, this investment adviser must maintain copies of all personal securities transaction and holding reports as required by the SEC’s rule.
Related Questions
- Does a registered investment adviser have to obtain personal securities holding and transaction reports if the access person does not have any reportable securities holdings or transactions?
- If a SEC registered investment adviser only has one access person, must the access person complete personal securities transaction and holdings reports?
- What is beneficial ownership by an access person of a SEC registered investment adviser for personal securities transaction purposes?
