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It's looking official: Advisors switching to state oversight to face many more audits

State securities regulators, SEC issue first solid answers on some commonly asked questions for 4,000 advisors in limbo

Tuesday, September 28, 2010 – 3:58 AM by Elizabeth MacBride
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Melanie Senter Lubin: Maryland's securities chief says state regulators are pressing the SEC to offer guidance to advisors.


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