Investor Presentaiton

QUESTION: Should a Licensee send supporting documentation along with the Certification of Compliance? The licensee must submit the compliance certification to the Department but is not required to submit explanatory or additional materials with the certification. The certification is intended as a stand-alone document required by the statute. The Department also expects that the licensee will maintain the documents and records necessary to support the certification, should the Department request such information in the future.

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