The Securities and Exchange Commission and the North American Securities Administrators Association said they would waive for nine months the initial set-up and annual renewal fees paid by investment adviser firms to join their registration system.
The Investment Adviser Registration Depository system is an Internet-based national database, sponsored by the SEC and NASAA and operated by the Financial Industry Regulatory Authority. It offers investment advisers and representatives a single source for filing state and federal registration and notice filings.
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