Spotlight on Registration Requirements and Filings for Investment Advisors and their Employees

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Advisors are generally required to register with the Securities and Exchange Commission (“SEC”) or the states in which they do business unless the advisor only manages certain types of clients or has a limited number of clients and assets under management (“AUM”). In addition, states (but not the SEC) require some individual employees of registered advisory firms to get registered as Investment Advisor Representatives (“IARs”) in their own right. Read more in this whitepaper.

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