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RIAs switching to state registration may be examined by a second regulator, too

The audit may come remotely from a state where the advisor doesn't have a place of business

Thursday, September 22, 2011 – 2:54 AM by Les Abromovitz, Guest Columnist
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Les Abromovitz: Ironically, the RIA that received notice of this desk audit was not required to be registered in the state conducting the examination.

Mentioned in this article:

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




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