In its recent end of year report, the SEC laid out an ambitious list of goals and priorities for 2013. Many of the initiatives reflect the agency’s continuing focus on investment advisers.
Firefox recommends the PDF Plugin for Mac OS X for viewing PDF documents in your browser.
We can also show you Legal Updates using the Google Viewer; however, you will need to be logged into Google Docs to view them.
Please choose one of the above to proceed!
LOADING PDF: If there are any problems, click here to download the file.