Summary: Before going independent, financial advisors should make sure make that they know the fine points of the compliance rules and regulations that they will encounter.
 Timing will depend on whether you're registering with the [Securities and Exchange and Commission] or one or more states.While it's counterintuitive, it's a whole lot quicker and easier to register with the SEC."Scott Gottlieb, president and chief executive, U.S. Compliance Consultants |
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