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TYPES OF ADVISORY BUSINESS Investment Adviser Types Investment Advisory Business Operations ADVISER ORGANIZATION CHECKLISTS Formation Checklist Documents Checklist Structure Checklist Service Provider Checklist Regulations Checklist Marketing Checklist ADVISER FORMATION C Corporation General Partnership Limited Liability Company Limited Liability Partnership S Corporation Sole Proprietorship Federal Employer Identification Number Investment Management Agreement

SEC/STATE REGISTRATION Definition of Investment Adviser SEC v. State Registration Registration Process Form ADV IARD Wrap Accounts (Schedule H) State Notice Filings State Registration Foreign Advisers Successor Adviser Registration REGISTRATION EXEMPTIONS Bank Exemption Broker-Dealer Exemption Exceptions to Registering As An Adviser Intrastate Adviser Exemption Insurance Company Exemption OTHER REGISTRATIONS Commodities and Futures Registration Insurance Agent Licensing Registered Representative INDIVIDUAL REGISTRATION Investment Adviser Representative Registration Exams SEC Adviser Representative

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