Jan 11, 2016, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) published examination priorities for 2016.
Jan 11, 2016, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) published examination priorities for 2016.
[14-April 2011] -- THE Financial Planning Association (FPA) claims its survey of more than 330 Financial Advisors found most firms do not use Financial Advisor Software.
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