Learn how to calculate your firm’s Regulatory Assets Under Management under the SEC’s new guidance; what housekeeping items CCOs should perform this time of year; and a recap of the SEC’s recent social media alert.
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- The Importance of Effective ADV Disclosure: Staying Ahead of the Regulators
- SEC and FINRA 2019 Examination Priorities
- Highlights of 2018: Predictions for 2019
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