Chrys Carey

Chrys Carey

Morrison & Foerster LLP

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SEC Launches Exam Initiative for Newly Registered Municipal Advisors

The SEC is not wasting any time making sure that newly registered municipal advisors are introduced to their regulator. On August 19, 2014, the SEC announced a two-year examination initiative for municipal advisors that...more

8/21/2014  /  Financial Industry Regulatory Authority (FINRA) , Municipal Advisers , OCIE , Registration , SEC Examination Priorities , Securities and Exchange Commission (SEC)
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