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Are there any exclusions to the personal securities holdings and transaction reporting requirements of access persons of a SEC registered investment adviser?

April 26, 2017exclusions holdings persons requirements sec securities transaction

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Are there any exclusions to the personal securities holdings and transaction reporting requirements of access persons of a SEC registered investment adviser?

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An access person of a SEC registered investment adviser is not required to report any personal securities held in accounts over which the access person has not direct or indirect influence or control and any transactions effected pursuant to an automatic investment plan.