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News March 19, 2018 Issue

The SEC’s Cherry-Picking Crackdown: What’s Behind It

Whatís behind the SECís crackdown on cherry-picking at advisory firms, other than the agencyís desire to stamp out this violation wherever and whenever itís found? Certainly there are other improper actions that the Division of Enforcement has made clear it will pursue, among them share class selection or Rule 105 violations. Cherry-picking cases, however, seem to be in a case by themselves.

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