Updated Saturday, April 19, 2014 as of 11:15 PM ET
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Practice - Regulatory/Compliance
SEC Registration Deadline Looms
by: Kenneth Corbin
Friday, March 1, 2013
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As investment advisors prepare to file annual updates to registration documents with state and federal regulators, compliance experts are stressing the importance of playing it straight with the numbers and ensuring that advisors' forms contain full, accurate disclosures.

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