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AHHHH! Exemptions

AHHHH! Exemptions

So let’s complicate things even more. Sounds like the 63’s style doesn’t it?

Let’s talk about investment advisers who meet the investment adviser definition but don’t have to register. These investment advisors are exempt. Maybe you have heard that word once or twice? Maybe you’re a little sick of it. Maybe you want to yack. We understand.

Anyway, exemptions, if you’re an investment adviser you can get one if you have no place of business in a state (remember the Canadian BDs?) and...

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