A federal covered adviser registered with the SEC must notice file with a state when:

1. AIt has no clients in the state
2. BIt has a place of business in the state✓ Correct answer
3. CIt has only institutional clients in the state
4. DIt has fewer than 6 clients in the state in the past 12 months

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• Which situation would most likely require a federal covered adviser to make a notice filing in State Y?
• Which of the following is NOT considered a federal covered adviser under the USA?
• Under the USA, which of the following is true of federal covered advisers?
• Who has jurisdiction to enforce anti-fraud provisions against a federal covered adviser doing business in a state?
• A notice filing for a federal covered adviser typically requires submission of:
• A federal covered adviser must generally make a notice filing with a state if it:
• Which of the following actions may a state administrator NOT take against a federal covered adviser?
• Which of the following is a requirement for a federal covered adviser doing business in a state?