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SEC s 2024 Examination Priorities For Investment Advisers - Securities

The U.S. Securities and Exchange Commission (SEC) Division of Examinations (the Division) recently released its annual Examination Priorities for fiscal year 2024 (the Report).

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SEC Division Of Examinations Issues 2022 Examination Priorities - Financial Services

On March 30, 2022, the U.S. Securities and Exchange Commission ("SEC") Division of Examinations (the "Division") (formerly the Office of Compliance Inspections and Examinations).

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SEC Exam Priorities For 2021: What You Need To Know - Corporate/Commercial Law

Last week, the Securities and Exchange Commission's Division of Examinations (the "Division") released its 2021 examination priorities.

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