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A broker/dealer, investment advisor, BD agent or IA rep may only
transact business in a particular state after
licensure or satisfying qualifications
requirements of that state, or only if they are
excluded or exempted from the states
broker/dealer, investment adviser, or BD agent
or IA rep requirements, as the case may be; and
follow-up, individualized responses to consumers
in a particular state by broker/dealer,
investment adviser, BD agent or IA rep that
involve either the effecting or attempting to
effect transactions in securities or the
rendering of personalized investment advice for
compensation, as the case may be, shall not be
made without first complying with the states
broker/dealer, investment adviser, BD agent or
IA rep requirements, or pursuant to an
applicable state exemption or exclusion. |
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Investments products and services available only to residents of
: Arizona (AZ), California (CA), Colorado (CO),
Florida (FL), Idaho (ID), Minnesota (MN), Nevada
(NV), New York, and Texas (TX) |
