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SEC Launches Wrap-Program Sweep

Thursday, Aug 28 2014

Regulatory & Compliance

Written by PFA News

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The Securities and Exchange Commission has asked firms to provide records pertaining to wrap-fee programs. The regulator is evaluating if firms are complying with federal regulations. So reports Reuters.

Specifically, the SEC is asking firms to provide information on wrap-fee policies, total assets, and past legal actions or client complaints.

Read the full article from Reuters.

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