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: SECLaw.com

Registration and Regulation of Investment Advisers

By Mark H. Astarita, Esq.

Increased regulation, and a push for more regulation by FINRA and the States is causing brokers and small firms to move the to investment advisory side of the business. While regulations are going to change here too, there are benefits to the adviser registration, rather than dealing with FINRA. More>>>

Full post as published by SECLaw.com on September 30, 2009 (boomark / email).

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