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wapsi

03/04/12 2:10 PM

#1878 RE: energy_wave #1877

People or firms that get paid to give advice about investing in securities generally must register with either the SEC or the state securities agency where they have their principal place of business. As discussed in greater detail below, the rules governing the registration of certain investment advisers have changed.



Something for everyone to know about advising anyone to buy or sell. Taken from the SEC website