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Red Oak Blog

News that affects your business and ours.
 
Friday, February 21 2014

New SEC Exam Initiative

Time to get ready for a new era of examination for those Investment Advisers that have been deemed lower risk. Today the Securities and Exchange Commission announced that it is launching an initiative directed at investment advisers that have never been examined before, focusing on those that have been registered with the SEC for three or more years. Please click here to read the complete press release.