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: Securities Law Prof Blog

SEC Staff Releases Study on Investment Adviser Exams; Walter Expresses Support for SRO Option

By Securites Lawprof

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Section 914 of the Dodd-Frank Act mandates that the SEC conduct a study to review and analyze the need for enhanced examination and enforcement resources for investment advisers. The statute requires the examination of: (1) the number and frequency of...

Full post as published by Securities Law Prof Blog on January 20, 2011 (boomark / email).

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