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Daily Archives: April 20, 2021

priorities

Episode 37: Chris Winn on Regulatory Priorities

"...For Advisors"By Peter McGrattyApril 20, 2021

“Well, each year the SEC shares their regulatory priorities. In recent years, they’ve tried to make it not be a mystery of what they view as important. And we’re waiting, for details for this year, but the core things that have been focused on include anywhere where there’s a conflict of interest between the firm…

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