 The agency is honing in on some 1,000 traditional investment advisers who have been registered with the SEC for more than three years, but who were never examined," Jane Jarcho, OCIE exam program. |
Five Ways Advisers Can Prep for Their First U.S. SEC Exam
Suzanne Barlyn | wealthmanagement.com, January 2014
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Summary: The top U.S. securities regulator says its examiners will finally get around to knocking on doors at some of the thousands of investment advisers it has never met, including some waiting for more than a decade for the agency to come calling.
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