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What legislation is the Series 63 heavily based upon?
Who uses the Uniform Securities Act?
What is the basic definition of an investment adviser?
What are the seven exceptions to the definition of investment adviser?
What are the two primary reasons for requiring investment adviser registration?
What are the two exceptions from state registration for investment advisers?
Advisers that have no place of business within a state are not required to register if their only clients in that state are which kind?
What is the de minimis rule?
What amount of assets under management requires federal registration?
An adviser may federally register if it would be required to register in how many states?
When d