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Subject (56)The SEC Just Gave RIAs a Closer Look at the Exam Process
Preheader (149)A new SEC handbook makes the exam process clearer. Your records still need to be ready before the notice arrives. ͏ ͏ ͏ ͏ ͏ ͏ ͏ ͏ ͏ ͏ ͏ ͏ ͏ ͏ ͏ ͏ ͏ ͏
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The SEC Just Gave RIAs a Closer Look at the Exam Process

A new SEC handbook makes the exam process clearer. Your records still need to be ready before the notice arrives. ͏ ͏ ͏ ͏ ͏ ͏ ͏ ͏ ͏ ͏ ͏ ͏ ͏ ͏ ͏ ͏ ͏ ͏
The SEC Just Gave RIAs a Closer Look at the Exam Process