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SEC discusses exam priorities
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Financial Stability, Investor Protections, Private Funds
Wednesday, March 6, 2013
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The Securities Exchange Commission published its examination priorities for 2013, which cover a wide range of issues at financial institutions, including broker-dealers, clearing agencies, exchanges and self-regulatory organizations, investment companies, hedge funds and private equity funds and transfer agents. Read on to learn about the SEC’s Dodd-Frank Act-related examination plans.
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