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News March 12, 2018 Issue

OCIE Expects to Maintain 15 Percent Adviser Exam Rate in 2018 and 2019

The SECís Office of Compliance Inspections and Examinations achieved a historic rise when examiners visited 15 percent of advisory firms in fiscal year 2017, up from 11 percent the year before. It expects this rate to hold steady through the next two fiscal years, according to its annual performance report.

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