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NEW!
Order Adopting Amended Rules Regarding Regulation of Certain Investment Advisors Managing Private Equity and Venture Capital Funds
(09/07/2011)
Statement of Policy Regarding Regulation of Certain Investment Advisors Managing Private Equity and Venture Capital Funds
(07/19/2011)
Deadline to Switch from Federal Registration to State Registration Extended
NASAA Identifies Top Broker-Dealer Compliance Deficiencies
Dodd Frank Information
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