pRehMusFinancial.com
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(2) Follow up, individualized responses to consumers in a particular state by broker-dealer, investment adviser, BD agent or IA rep that involve either the securities or the rendering of personalized investment advice for compensation, as the case may be, shall not be made without first complying with the state's broker-dealer, investment adviser, BD agent or IA rep requirements, or pursuant to an applicable state exemption or exclusion.
