Tuesday, November 01, 2005
SEC Plans to Randomly Check Investment Advisers Each Year
To better keep tabs on whether investment advisers are complying with regulations, the Securities and Exchange Commission plans to randomly check a sampling of firms each year rather than visit each firm once every five years.
SEC Plans to Randomly Check Investment Advisers Each Year
Source: Wall Street Journal (subscription required)
SEC Plans to Randomly Check Investment Advisers Each Year
Source: Wall Street Journal (subscription required)
Permalink posted by armandn @ 7:17 AM 
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