Exempt Registered Advisers
Do Exempt Registered Advisers need to have their employees submit U4 forms?
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AFAIK U-4 forms are not required of an exempt reporting adviser by the SEC. However, an ERA could also be registered at the state level and would need to submit a U-4 for any individual providing investment advice to clients in that case.
Thanks for the informative reply, I appreciate you taking the time.
Is there a way to check if a fund is registered at the state level? I know that I can check registered advisers with finra broker check...
Edit: it's on finra broker check, as well.
Also, do small hedge funds/pe firms (less than $100mm), that are ERA need to take finger prints? Is there a point where they need to do that as an ERA?
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