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Registration Requirements for Zero De Minimis States

by | Nov 8, 2019 | De minimis exemption, Investment Adviser Representative, Registered Investment Advisers (RIAs), RIA Compliance, SEC Investment Adviser Compliance, SEC Rules, State Investment Adviser Compliance, Texas

This year alone, the Texas State Securities Board has fined 4 Registered Investments Advisers (RIAs) for providing investment advice to Texas based clients without a proper registration or state notice filing. We would like to remind clients that they need to be...