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EB-5 Insights Where Government Policies and Business Realities Converge

OCIE Releases 2015 Examination Priorities

Posted in Securities Law

Written by Richard M. Cutshall and Arthur Don

On Jan. 13, 2015, the SEC’s Office of Compliance Inspections and Examinations released its annual list of examination priorities for 2015. This GT Alert provides an overview of the examination priorities, and highlights how most securities industry participants – registered investment advisers, broker-dealers, registered investment companies and transfer agents – are impacted.

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