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Keywords: Registered investment adviser (RIA)
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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...
