Stories Tagged: investment advisers

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SEC Division of Examinations Publishes 2024 Examination Priorities, Prioritizing Market Structure Reforms

The Securities and Exchange Commission (SEC) has proposed four rules to reform the structure of... (4 revisions)

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SEC Proposes Rule to Require Investment Advisers to Implement Customer Identification Programs

The Securities and Exchange Commission (SEC) has proposed a rule that would require investment... (4 revisions)