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You may be wondering if you are on the list for an exam this year. Is it due time for
The SEC is moving beyond an adviser’s good faith effort to comply in the latest round of SEC Regulation Best
On November 2nd, 2020, the Securities and Exchange Commission (“SEC”) Division of Enforcement (the “Division”) released their 2020 Annual Report.
Have you heard about the second round of PPP COVID relief?  Do you want to know how it is different
After 40 years since the adoption of the Investment Advisers Act, the Securities and Exchange Commission (the “SEC”) announced some
The SEC doesn’t back down from a fight no matter the size of the players. Wells Fargo took a hit
The SEC hasn’t slowed down their hunt for harmed investors. Oh, no. As of late, more than $3 million has
With recent increase in the usage of electronic communication, we thought it necessary to touch on what the SEC is

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