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Browse: Home / 2017 / November / 24 / Surprise! The SEC Is Here! Are You Prepared?

Surprise! The SEC Is Here! Are You Prepared?

By Securities Docket on November 24, 2017, 9:59 am

In case you missed it, the U.S. Securities and Exchange Commission examiners in Boston, Mass. have been showing up at registered investment advisors’ offices unannounced to conduct “surprise” examinations.

via Surprise! The SEC Is Here! Are You Prepared?

Posted in SEC, Top | Tagged OCIE

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