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United States Securities & Exchange Commission Firm Disclosure Brochure Form ADV Part IINEWCAPITAL CRD 131658 New Capital Management LP 3355 West Alabama Street, Suite 275 Houston, TX 77098 (713)
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Research the specific requirements for the state securities regulators in the state where you plan to operate.
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Complete the necessary paperwork and forms as required by the state securities regulators.
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Submit the completed paperwork along with any required fees to the appropriate office or department.
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Wait for confirmation of approval or authorization from the state securities regulators before proceeding with any securities activities.

Who needs state securities regulators?

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Anyone who plans to engage in securities activities within a specific state.
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Financial advisors, brokers, and other professionals in the securities industry who are subject to state regulations.
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Investors who want to ensure that the securities they are investing in comply with state laws and regulations.
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State securities regulators are government agencies responsible for overseeing securities transactions within their jurisdiction.
Anyone involved in the sale or offering of securities in a particular state may be required to file with that state's securities regulator.
Filing requirements for state securities regulators may vary by state, but generally involve submitting specific forms and documentation related to the securities being offered.
The purpose of state securities regulators is to protect investors and maintain the integrity of the securities market within a particular state.
Information that may need to be reported on state securities regulators includes details about the issuer, the securities being offered, any risks associated with the investment, and the intended use of funds.
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