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Showing 1 - 1 of 1 results for "SEC exams"

SEC adviser exams could cost US$310m

ALEX DUNNIN  |  MONDAY, 8 SEP 2014
... instigated in an attempt to boost beyond the current low level of 9% the proportion of investment advisers that sit SEC exams. But given the costs in doing this and since Congress has so far denied the SEC request for additional funding this Bill is ...
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