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The investment advisor or IA rep in question may only transact business in a state if first registered, excluded or exempted from state investment advisor or IA rep registration requirements, as may be; and follow-up, individualized responses to persons in a state by such investment adviser or IA rep that involve either the effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, as may be, will not be made absent compliance with state investment adviser or IA rep registration requirements, or an applicable exemption or exclusion.

 

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