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Browse: Home / 2019 / January / 04 / Government shutdown crimps SEC exams

Government shutdown crimps SEC exams

By Securities Docket on January 4, 2019, 12:36 pm

If you’re an investment adviser hoping to avoid a Securities and Exchange Commission exam, the partial government shutdown now in its second week is working in your favor.

Although the shutdown, which started Dec. 22, proceeded quietly during the holidays, it is now starting to have more visible repercussions. One impact on investment advisers: the SEC appears to have halted investment adviser exams.

via Government shutdown crimps SEC exams.

Posted in SEC, Top | Tagged OCIE

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