Updated Wednesday, July 23, 2014 as of 8:33 PM ET
Practice - Regulatory/Compliance
Dual Registrants, Alternatives Top SEC's Concerns
Thursday, March 6, 2014
Partner Insights

ARLINGTON, VA. -- As SEC examiners make their rounds at advisor practices this year, they will be taking a hard look at dually registered firms and the use of non-traditional mutual funds, according to the head of the commission's compliance unit.

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