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SEC to Increase Exams This Year

Friday, Mar 16 2018
Regulatory & Compliance
Written by  PFA News

An internal reorganization with the Securities and Exchange Commission is allowing the regulator to increase the number of advisors that it subjects to examinations this year. So reports Financial Planning.

The Commission subjected 15% of advisors to examinations last year but the regulator is on pace to increase that to 20% in 2018 after having transferred 100 employees to its division that oversees investment advisors and investment companies.

Read the full article from Financial Planning.

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