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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

Author Les Abromovitz, Guest Columnist September 22, 2011 at 2:54 AM
3 Comments
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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.

RIA Compliance


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Mentioned in this article:

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



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