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Does a registered investment adviser have to obtain personal securities holding and transaction reports if the access person does not have any reportable securities holdings or transactions?


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Does a registered investment adviser have to obtain personal securities holding and transaction reports if the access person does not have any reportable securities holdings or transactions?

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The SEC rule does not require an investment adviser to obtain reports indicating that access person does not have any transactions or holdings to report. However, many investment advisers choose to require this type of reporting to ensure that all access persons are consistently aware of the personal securities holding and transaction reporting requirements.

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