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KM Financial Solutions | UPDATE 1-U.S. SEC issues compliance focus areas for brokers before new rules take effect
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UPDATE 1-U.S. SEC issues compliance focus areas for brokers before new rules take effect

06 Apr UPDATE 1-U.S. SEC issues compliance focus areas for brokers before new rules take effect

Posted at 20:27h in News by
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The head of the examination
office at the U.S. Securities and Exchange Commission (SEC) on
Tuesday published details about the expected scope and content
for compliance with a new rule requiring broker-dealers and
investment advisers to disclose potential conflicts of interest.

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