W. Va. Code § 46A-6F-203

Current through 2024 First Special Session

Section 46A-6F-203 - Inapplicability of article to licensed associated person of a securities, commodities, or investment broker, dealer, or investment adviser

The provisions of this article do not apply to any licensed associated person of a securities, commodities, or investment broker, dealer, or investment adviser, when soliciting within the scope of his license. As used in this section, "licensed associated person of a securities, commodities, or investment broker, dealer, or investment adviser" means any associated person registered or licensed by the national association of securities dealers or other self-regulatory organization as defined by the Securities Exchange Act of 1934 ( 15 U.S.C. § 781 ) or by an official or agency of this state or of any state of the United States.