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The weekly news source for investment management legal and compliance professionals

News March 24, 2014 Issue

Broker-Dealer Registration: Know What's Required Before You Act

You know the Robert Frost poem about the person confronted with two paths in a wood and how choosing the less-traveled one made all difference? Advisers facing the choice of whether to register as a broker-dealer should carefully consider what lies ahead before walking down what, for them, will be the less-traveled broker-dealer path.

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