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Can a mid-sized investment advisor withdraw its registration as investment advisor from the SEC once it is registered as an investment advisor with the required state securities regulators?


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Can a mid-sized investment advisor withdraw its registration as investment advisor from the SEC once it is registered as an investment advisor with the required state securities regulators?

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All mid-sized investment advisors registered with the SEC as of July 21, 2011, must remain registered with the SEC until at least January 1, 2012, and must also file the required Form ADV amendment with the SEC by March 30, 2012. A mid-sized advisor no longer eligible for SEC registration must withdraw its registration with the SEC by filing a Form ADV-W by no later than June 28, 2012. The SEC will cancel the registration of investment advisors no longer eligible for SEC registration if the Form ADV amendment isn´t filed by March 30, 2012, or if the Form ADV-W is not filed by June 28, 2012.

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