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Does a state registered investment adviser have to maintain a code of ethics?


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This will vary among state securities regulators depending on the state securities regulator’s investment advisor rules and regulations. It is important for a state registered investment adviser to remember that the regulations of many state securities regulators follow the SEC’s rules for SEC registered investment advisers. Therefore, many state registered investment advisers may also be required to adopt a code of ethics similar to the SEC requirements. A state registered investment adviser will need to consult the investment adviser rules and regulations of its state securities regulator(s) to determine if this is required.

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