SEC Has Another Banner Year at Expense of Advisers

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The SEC recently announced that it filed 734 enforcement actions in fiscal year 2012, just short of last year’s record of 735. In light of the recent crackdown on advisers, it is not surprising that they accounted for a large percentage of the actions.

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Published In: Business Organization Updates, Finance & Banking Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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