Investment Advisers

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SEC Targets Investment Advisers With Previously Identified Exam Deficiencies

By Steve Quinlivan on 10/23/2013

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SEC is Monitoring General Solicitations

By Steve Quinlivan on 10/19/2013

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SEC Provides Additional Guidance on Form 13F Confidential Treatment Requests

By Steve Quinlivan on 10/02/2013

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Office of Financial Research Studies Systematic Risk of Asset Managers

By Steve Quinlivan on 09/30/2013

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SEC Charges Hedge Fund Adviser With Participating in Conflicted Principal Transaction

By Steve Quinlivan on 09/19/2013

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Current SEC Priorities Regarding Hedge Fund Managers

By Steve Quinlivan on 09/12/2013

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SEC Brings First Case for Misleading Chief Compliance Officer

By Steve Quinlivan on 08/27/2013

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SEC Charges Private Equity Fund Manager with Misleading Investors about Valuation and Performance

By Steve Quinlivan on 08/20/2013

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SEC Updated Form PF FAQs

By Jill Radloff on 08/11/2013

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SEC Provides Guidance on Custody of Privately Offered Securities

By Steve Quinlivan on 08/07/2013

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