Apply Adviser Registration Rules · Series 65 · Flashcards

QUESTION

What is the AUM "buffer zone" in which an adviser may remain with its current regulator if otherwise eligible?

QUESTION

What AUM level generally requires state registration (rather than SEC) for an investment adviser?

QUESTION

Identify the regulator for an adviser with AUM of

105

million that is already SEC-registered and remains eligible to stay.

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