Web31 aug. 1998 · FOOTNOTES-[1]- Pub. L. No. 104-290, 110 Stat. 3416 (1996) (codified in scattered sections of the United States Code).-[2]- 15 U.S.C. 80b-3a(a).-[3]- 15 U.S.C. 80a. The Commission has authority to deny registration to any applicant that does not meet the criteria for Commission registration and to cancel the registration of any adviser that no … WebAll states require that investment advisers (IAs) and investment adviser representatives (IARs) conducting business in the state register with the state’s securities regulatory authority (or qualify for an exemption from registration). Approximately 17,500 investment advisers are so registered.
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