Jara sang
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Mon Nov-14-05 08:18 PM
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Question about investment advisers and the SEC. |
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I know that investment advisers have to be licensed or registered with the SEC. Does this mean that each employee they have working for them has to be bonded? What if an investment adviser had somebody working for them that was undocumented, unlicensed, and unqualified to handle sensitive information such as an investor's IRA account information? Any help would be appreciated. Thanks in advance.
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