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How does an investment advisor firm obtain a surety bond to meet the state’s net worth requirement?


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It’s recommended that you contact your local commercial insurance agent as soon as possible since this can be a relatively slow process. Please refer to the particular requirements published by your firm’s home state securities regulator. Your state securities regulator will likely have a surety bond form or affidavit that will need to be executed by the surety and/or its agent.

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