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News February 8, 2016 Issue

SEC Reassigning Broker-Dealer Examiners to Advisers

The SEC, perennially short on examiners for the growing number of registered investment advisers, will be adding 100 more to the task as 2016 progresses and a significant percentage of them will be existing examiners that currently focus on broker-dealers. The result may be a significant increase in the frequency of investment adviser examinations.

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