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My firm is an SEC-registered investment adviser (a notice filer in Massachusetts). Must I register all of my representatives who provide investment advice to clients in Massachusetts?

April 26, 2017adviser filer firm Investment Massachusetts Notice REGISTER Representatives sec-registered

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My firm is an SEC-registered investment adviser (a notice filer in Massachusetts). Must I register all of my representatives who provide investment advice to clients in Massachusetts?

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A. You need only register those representatives who have a “place of business” in Massachusetts and who meet the federal definition of investment adviser representative.