Sublime

Some highlights have been hidden or truncated due to export limits.

Some highlights have been hidden or truncated due to export limits.

First, an investment adviser is not an investment adviser representative and vice versa. One is the firm, the other represents the firm. We saw the same relationship between the broker-dealer firm and the agent who represents it. Some states go so far with this separation that they require an investment adviser set up as a sole proprietor or

Is this a one-time offense or a recurring theme?

Some highlights have been hidden or truncated due to export limits.

Some highlights have been hidden or truncated due to export limits.

Why would the Administrator issue a deny/suspend/revoke order, in the first place? First, the order has to be “in the public interest, providing necessary protection to investors,” and, then, somebody: • has filed a false or misleading application • has willfully violated or willfully failed to comply with any provision of this act • was convicted