The SEC recently posted its examinations priorities online.
If you have a subscription, you can read the full article from Investment News here.
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Securities and Exchange examiners will target advisers to hedge funds and private-equity programs and advisers who are registered as both registered investment advisors and reps, reports InvestmentNews.
The SEC recently posted its examinations priorities online.
If you have a subscription, you can read the full article from Investment News here.