United States:
Passing The Exam: What You Need To Know
23 February 2016
Fox Rothschild LLP
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Being Examined by the SEC or FINRA is never a fun process.
Further, the frequency of their knocking at your proverbial door is
only likely to increase in the future. In fact, the SEC has stated
that it will prioritize never-before-examined investment advisers
and investment companies this year.
Click here to view the full article.
Originally published by the National Society of Compliance
Professionals
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
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