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Keywords: Examination
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2019) 20 (4): 1–8.
Published: 27 September 2019
...Laura S. Pruitt; David P. Bergers; Eric A. Love Purpose The purpose of this paper is to summarize and analyze the 2019 broker-dealer examination priorities of the Financial Industry Regulatory Authority (“FINRA”) and the US Securities and Exchange Commission’s (“SEC”) Office of Compliance...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2014) 15 (3): 32–34.
Published: 26 August 2014
... aggregation feature. Design/methodology/approach – Review and summarize the SEC’s finding’s regarding the adviser’s advisory fee breakpoint discount program, deficiencies in the program identified in SEC examinations, resulting violations of the Investment Advisers Act and its rules, the adviser’s...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2014) 15 (1): 45–47.
Published: 27 February 2014
..., and other rule violations and compliance failures; explains changes in registered investment adviser (RIA) exemptions following enactment of the Dodd-Frank Act; discusses recent SEC announcements concerning inspections and examinations of RIAs. Findings – The SEC's recent announcements and enforcement...
