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Implications of the Dodd Frank Act and SEC Rules


Thursday, July 21, 2011
Reference: 
11-SB-03-07/21

This Bulletin provides guidance for investment advisers ("advisers") with less than $150 million in assets under management that conduct business in the District of Columbia, who may be required to register with the Department of Insurance, Securities and Banking ("Department").

SEC

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Bulletin 11-SB-03-07/21369.36 KB