kaal:claim:2337268-007

A broker dealer who holds himself or herself out as a financial planner does not thereby trigger registration obligations under the IAA.

Source quote, verbatim

A broker dealer holding him or herself out as a financial planner alone does not trigger IAA registration obligations.14

From

Wulf A. Kaal, Investment Adviser Regulation (2013), 1. Definitions, p. 6
https://ssrn.com/abstract=2337268 · source PDF

Cite as

Wulf A. Kaal, Investment Adviser Regulation (2013). SSRN: https://ssrn.com/abstract=2337268

Holds when

broker dealers holding out as financial planners

Classification

conditionsupport: assertedsecurities-law

Verify

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