News

Wednesday January 18, 2017
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Recent News

OCIE Announces Examination Priorities for 2017

The SEC’s Office of Compliance Inspections and Examinations this year will focus on areas of importance to retail investors, risks affecting elderly and retiring investors, and the assessment of

SEC Extends No-Action Relief for Broker-Dealers Relying on Investment Advisers Under Customer Identification Program

The SEC’s Division of Trading and Markets has granted SIFMA’s request to extend its no-action position that is currently in effect with respect to the reliance provisions of the customer

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