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When can a mid-sized investment advisor start registering with state securities regulators?


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When can a mid-sized investment advisor start registering with state securities regulators?

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A mid-sized investment advisor can start applying for registration with state securities regulators at this time, but the investment advisor should first check with each state securities regulator to make sure the state will not object to the investment advisor´s dual registration as an investment advisor with the state securities regulator and the SEC. Every state securities regulator has its own investment advisor registration requirements and additional documentation may be required to be submitted along with the investment advisor registration application.

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