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Searching Content indexed under Compliance by Thomas C. Lauerman ordered by Published Date Descending.
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SEC Adopts T+2 Securities Settlement Cycle
The shortened settlement cycle will impact many securities transactions by both retail and institutional investors.
United States
30 Mar 2017
2
SEC Probes Share Class Recommendations
In July, the Securities and Exchange Commission's OCIE announced an initiative to identify instances where registered investment advisers may be improperly influenced by conflicts of interests...
United States
1 Nov 2016
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