Today's SEC: Helping you un-break the law

In yet another all-good-cop, no-bad-cop routine, the Commission recently issued a "Compliance Alert" to all investment managers, brokers and transfer agents registered with it, essentially tipping off firms that it (the Commission) should be regulating with a stern hand as to violations (or "issues") it has discovered so far in its compliance audits.

Or, as the SEC itself put it, "This 'Compliance Alert' letter summarises select areas that SEC examiners have recently reviewed during examinati

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