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News January 28, 2019 Issue

SEC Registration and Year One: What New Advisers Should Expect

Advisory firms preparing to register with the SEC, a group that includes brand new firms, existing firms that just surpassed the $100 million mark in assets under management, and those setting up a new firm, need to prepare for their first year under the agency’s eyes – a year that may include at least a phone call from examiners.

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