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Examiners may ask “Says who?” about your advertisements

RIAs may run afoul of the SEC by using superlatives like "unparalleled" and "unique"

Author Les Abromovitz June 21, 2011 at 2:23 PM
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Les Abromovitz: Avoid statements that expressly state or imply that you and your firm are in a class by yourself.

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NCS Regulatory Compliance
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Top Executive: Mark Alcaide, COO/Partner




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