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Browse: Home / 2018 / March / 19 / SEC enforcement down despite increase in exams | Financial Planning

SEC enforcement down despite increase in exams | Financial Planning

By Securities Docket on March 19, 2018, 9:04 am

Examination rates have been marching steadily upward, with examiners on pace to reach 20% more firms this year than last, but at the same time, the percentage of firms referred to the SEC’s Enforcement Division has been dropping, now down to around 7% from around 10% in prior years, according to Peter Driscoll, director of the SEC’s Office of Compliance Inspections and Examinations.

via SEC enforcement down despite increase in exams | Financial Planning.

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