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Attractive man in glasses working with multiple electronic devices. Freelancer businessman has laptop and smartphone in hands and laptop on table with charts on screen. Multitasking theme.
The letter focuses on e-communications and sheds more light onto authorities’ interest in firms’ use of new communications platforms
Terms and conditions for employers.Digital contract that describes the working conditions and graphics. Law of observing the rules in society
Examiners will use the releases. “If you ignore what’s being said, you do so at your own peril”
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In a few days, the SEC will have answers from most advisers about their use of the new ad rule via several new Form ADV ...
Securities and Exchange Commission, SEC, Building in Washington DC. The SEC regulates stocks and bonds and related financial activities.
The SEC's exams division seeks 20 new staffers, with some dedicated to examining “the growing number of registered investment advisers, including those that advise private ...
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The idea of charging user fees to pay for SEC RIA exams resurfaces
Students sitting in amphitheater and studying
The DOE also vows at least a modest return to pre-pandemic days. “We also expect to increase our on-site interactions with regulated entities while continuing ...
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The Division encourages broker-dealers to review their practices, policies, and procedures with respect to Regulation Best Interest in order to address the issues raised in ...
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An SEC document request letter from a new exam of an investment adviser obtained by RCW reveals another sign of what will be scrutinized when ...
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This SEC exam letter from 2023 probes fees and advertising
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It just may be more anticipated than a Hollywood blockbuster: How will SEC examiners press advisers on complying with the new advertising rule?

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