CCLS Blog Spotlight

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SEC Examination Priorities for 2017

Examination Priorities Each year the SEC Office of Compliance Inspections and Examinations publishes their SEC examination priorities letter to inform the industry of their current focus areas.  The 2017 letter was released on January 12, 2017, and is available on the SEC’s website.  The letter identified three thematic areas which were similar to 2016: Examining …

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