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User Type | Advisor |
Entity Name | Daiwa Institue of Research Ltd |
SEC Registration # | |
Minimum Invetsment Required | 0.0 |
Assets Under Managment | 0.0 |
Contact Details |
Location | Tokyo, |
Address | |
Postal Code | |
Country | Japan |
Phone | |
Fax | |
Web Site | http://www.dir.co.jp/ |
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The SEC typically regulates investment advisers that have assets under management in excess of $25,000,000. Investment advisers that do not meet this threshold generally are regulated by the states. The SEC registers IA firms but does not separately register individual representatives of IA firms. The states register IA firms, and many separately register individual investment adviser representatives.
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