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sec
3 minute read
On July 23, 2019, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) summarizedfalse
3 minute read
On May 23, 2019, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published afalse
1 minute read
SEC announces new “smaller fund outreach effort”
2 minute read
5 minute read
SEC Adopts Advice Standards and Form CRS (“Client Relationship Summary”) for Broker-Dealers and RIAs
On June 5, 2019, the SEC adopted Regulation Best Interest and the new Form CRS Relationshipfalse
4 minute read
On April 29, 2019, Peter Driscoll, Director of the SEC’s Office of Compliance Inspections andfalse
