Scott Cogar

Scott Cogar

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Summary of the SEC’s 2024 Examination Priorities for Registered Investment Advisers

Yesterday, the United States Securities and Exchange Commission (the “SEC” or the “Commission”) Division of Examinations released its examination priorities to inform market participants of the key topics and priorities that...more

10/18/2023  /  Broker-Dealer , Investment Adviser , Investment Advisers Act of 1940 , Registered Investment Advisors , SEC Examination Priorities , Securities and Exchange Commission (SEC)
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