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Technology Stocks : Rambus (RMBS) - Eagle or Penguin -- Ignore unavailable to you. Want to Upgrade?

To: GVTucker who wrote (76646)	8/11/2001 3:01:47 PM
From: Wyätt Gwyön	Respond to of 93625

In fact, it is quite possible that Fred Hager doesn't have to file anything with the NASD or SEC (other than, of course, the fact that he's a registered investment advisor). RIAs file Form ADVs>> To find out about advisers and whether they are properly registered, read their registration forms, called the "Form ADV." The Form ADV has two parts. Part I has information about the adviser's education, business, and whether they've had problems with regulators or clients. Part II outlines the adviser's services, fees, and strategies. Before you hire an investment adviser, always ask for and carefully read both parts of the ADV. You can get copies of Form ADVs from the investment adviser, your state securities regulator, or the SEC, depending on the size of the adviser. You can find out how to get in touch with your state securities regulator through the North American Securities Administrators Association, Inc.'s Web site. If the SEC registers the investment adviser, you can get the Form ADV at a cost of 24 cents per page (plus tax and postage) from the SEC at Office of Public Reference 450 5th Street, NW, Room 1300 Washington, D.C. 20549-0102 phone: (202) 942-8090 fax: (202) 628-9001 e-mail: publicinfo@sec.gov sec.gov