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Surprise! The SEC Is Here! Are You Prepared?

Brian Hourihan | WealthManagement.com, November 2017

Summary: In case you missed it, the U.S. Securities and Exchange Commission examiners in Boston, Mass. have been showing up at registered investment advisors’ offices unannounced to conduct “surprise” examinations.

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Surprise! The SEC Is Here! Are You Prepared?

Brian Hourihan | WealthManagement.com, November 2017

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