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News October 18, 2004 Issue

SEC Sweep, Sweep, Sweeps Away

If it seems like the SEC is launching a lot of mini-sweeps, you’re right.

During last week’s NRS conference, OCIE associate director Gene Gohlke noted that "on the adviser side," the SEC is conducting "20 or 25 sweeps."

IM Insight’s heard, however, that the mini-sweeps truly are mini, with some looking only at a few firms.