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Searching Content indexed under Compliance by Peter McCamman ordered by Published Date Descending.
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OCIE's 2019 Examination Priorities And 2018 Enforcement Actions: Practice Points For Advisers To Consider
The US Securities and Exchange Commission's ("SEC") Office of Compliance Inspections and Examinations ("OCIE") released its 2019 examination priorities on December 20, 2018,
United States
27 Feb 2019
2
US Securities And Exchange Commission Announces 2015 Examination Priorities
The Office of Compliance Inspections and Examinations of the US Securities and Exchange Commission has announced its 2015 examination priorities.
United States
27 Jan 2015
3
US Securities And Exchange Commission Adopts Amendments To Money Market Fund Rule (Rule 2a-7)
On July 23, 2014, the US Securities and Exchange Commission by a 3-2 vote, adopted amendments to Rule 2a-7 under the Investment Company Act of 1940, as amended.
United States
28 Oct 2014
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