SEC Risk Alert: 5 Things Not to Do, Advisers!

SEC Risk Alert - 5 Things Not to Do by Bettina Eckerle

Earlier this year, the SEC’s Office  of Compliance Inspections and Examinations (OCIE)…

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Broker-Dealers to Face Tougher Custody Rules

The SEC recently adopted significant changes to the broker-dealer reporting rules.  The…

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