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Tag: Mitch Avnet

Regulatory News Update: SEC Adopts Changes to the Definition of Dealer and Government Securities Dealer

What: The SEC adopted final rules that significantly expand the definitions of “dealer” and “government […]

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SEC Charges Five More Investment Advisers for Marketing Rule Violations

Last week the SEC announced that it had settled charges against five more registered investment […]

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Mitch Avnet
A Note from Mitch Avnet

One of the primary drivers for Compliance Risk Concepts (CRC) is to raise the awareness […]

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