Weekend Reading For Financial Planners (September 9-10)
Nerd's Eye View
SEPTEMBER 8, 2023
Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that the SEC this week issued a risk alert outlining how it selects firms to examine, the areas it focuses on during exams, and how it chooses which firm documents to request, details that could ultimately help firms (..)
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