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Updated Refund Policy: Refund requests must be made within 45 consecutive days of receipt of funds and will only issued for amounts over $10.00.

Forms

Investment Adviser Resources

Please note that contact information listed on these documents has changed. The new number is (919) 814-5400.

Examination Program

NASAA

SEC And Other Regulatory Guidance

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Forms and Instructions

Registered investments advisers and their investment adviser representatives make all filings on the Investment Adviser Registration Depository. Advisers make most filings electronically on forms developed by the Securities and Exchange Commission. Obtain instructions from one of the following websites: www.nasaa.org under Industry Resources/IA Guide; www.iard.com under Filing Online or on the website www.sec.gov using their search tool.

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