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News September 9, 2019 Issue

New OCIE Risk Alert Focuses on Principal Trading and Agency Cross Trading

The SECís Office of Compliance Inspections and Examinations, in a September 4 Risk Alert, lets advisers know the most frequent principal trading and agency cross-transaction compliance issues that examiners observed Ė and therefore what firms can expect examiners to make a point of looking at during future visits.

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