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SEC Targets The Wolves Of Wall Street

Wolves of Wall Street, beware! The Securities and Exchange Commission is taking steps to improve its oversight of thousands of registered investment advisors, or RIAs, which operate under the SEC’s guidance. The Commission announced last month that it will soon launch exams to test the compliance oversight and controls of firms that hire investment advisers with … The post SEC Targets The Wolves Of Wall Street appeared first on Zamansky LLC.
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