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Rep Term – Setting Up New RIA Before Termination

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Rep Term – Setting Up New RIA Before Termination is a sample letter from the chief compliance officer ("CCO") of a current investment adviser firm to a departing investment adviser representative ("IAR") who is being denied a dual IAR licensing request but permitted to set up a new entity and file an application to register an investment adviser while the departing investment adviser representative is still IAR licensed through the current investment adviser firm. Available to Titanium package clients. Available for a la carte purchase through our Online Store at

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