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IA Compliance: The Full 360° View East
March 21-23 | Washington, D.C.
Conquering Current Compliance Challenges
Jan. 10, 2018 | 2:00 - 2:30 PM EST
IA case leads SEC to ‘ratify’ ALJs in attempt to end legal challenges
Five years after the SEC charged Ray Lucia over backtested performance claims, his case has sparked the Commission to ratify its five ALJs to “put to ...
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