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How suitable are your investment strategies? The SEC cares, a lot.

New ADV form heightens attention to the issue

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Les Abromovitz suggests that advisors file their ADV forms even if they're not happy with the content: 'You are at least making a good faith effort to be compliant.'

Mentioned in this article:

NCS Regulatory Compliance
Consulting Firm
Top Executive: Mark Alcaide, COO/Partner




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