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Prioritized Examination Financial Industry Regulatory Authority (FINRA)

Orrick - Finance 20/20

SEC Announces 2013 Examination Priorities

Orrick - Finance 20/20 on

On February 21, the SEC published its examination priorities for 2013. Priorities in each program area include: (i) for investment advisers and investment companies – presence exams for newly registered private fund advisers...more

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