SEC Release IA-1092

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SEC Release IA-1092

A protocol by the SEC providing a uniform set of interpretations on how state and federal authorities will deal with similar issues in their respective jurisdictions. This was published to reduce uncertainty and increase regularity in financial regulation. SEC Release IA-1092 was released in 1987.
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Importantly, a CPA or CPA firm that "holds itself out" as a financial planner or financial adviser or as providing financial planning or advice cannot use the solely incidental exclusion (SEC Release IA1092).