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Home | Thompson Hine LLP

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Does maintaining a place of business in the state trigger a notice filing (regardless of number of clients)?

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Yes. S.D. CODIFIED LAWS §47-31B-405(b)(1)(2016).

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What is the maximum number of clients adviser can have in the state without triggering a notice filing?

5. S.D. CODIFIED LAWS 47-31B-405(b)(2)(2016)

What sorts of clients are not counted for purposes of determining whether to notice file?

S.D. CODIFIED LAWS § 47-31B-405(b)(1)(2016).

”Institutional investors” any of the following, whether acting for itself or for others in a fiduciary capacity:

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Viewing of these pages does not establish an attorney-client relationship. The information above is informational purposes only and should not be construed as legal advice. A lawyer should be consulted to confirm both applicability and any other issues that might affect or apply to your situation.

South Dakota