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SEC Litigation Against RIAs Drops Dramatically

Saturday, Feb 08 2014

Regulatory & Compliance

Written by PFA News

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The number of Securities and Exchange Commission lawsuits against registered investment advisors declined from 35 in fiscal year 2012 to 21 in 2013. So reports Financial Advisor.

However, administrative proceedings increased slightly, The regulator’s fiscal year ends on September 30.

Read the full article from Financial Advisor.

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