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Each year, the Division of Examinations of the U.S. Securities and Exchange Commission (“SEC”), publishes its examination priorities for the upcoming year. Chris Winn of Advisor Assist comes on the show to discuss the 11 areas of prioritization for this year.
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Each year, the Division of Examinations of the U.S. Securities and Exchange Commission (“SEC”), publishes its examination priorities for the upcoming year. Chris Winn of Advisor Assist comes on the show to discuss the 11 areas of prioritization for this year.
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