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: Securities Law Prof Blog

SEC Releases Study on Enhancing Investment Adviser Exams

By Securites Lawprof

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The SEC released its report(Download 914studyfinal) on investment adviser examinations required by Dodd-Frank section 914 late yesterday, after I had blogged about its delay. I will report on the SEC's findings later today.

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

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