Updated Tuesday, May 21, 2013 as of 5:13 PM ET
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SEC Advisor Exams to Focus on Conflicts of Interest, Marketing Claims
Kenneth Corbin
The SEC plans to take a close look at potential conflicts of interest in the investment-advisor practices that its examiners oversee, and will ramp up scrutiny of the marketing and performance claims of federally registered advisors, according to the examination guidance the agency recently issued for the coming year.
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