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‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInSEC enforcement cases of RIAs take two years, IG says | Financial Planning
The SEC is examining more RIAs than it has at any point in the past decade. Even so, the thinned agency is struggling to oversee the more than 13,200 firms managing $84 trillion under its purview. Agency officials have said as much: The SEC’s latest annual performance review cites the notable rise in the share […]