Client Alert Current Issues Relevant to Our Clients January 29, 2015 SEC Examination Priorities for 2015 - Frank Chapman - Document - PDFSEARCH.IO

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	Client Alert Current Issues Relevant to Our Clients January 29, 2015 SEC Examination Priorities for 2015 Add to Reading List Document Date: 2015-01-29 12:28:43 Open Document File Size: 258,15 KB Share Result on Facebook Company Investment Management Group / Cutler LLP / Financial Industry Regulatory Authority Inc. / New York Salt Lake City San Francisco Washington / Chapman / / IndustryTerm retail investors / / Organization office of Compliance Inspections and Examinations / U.S. Securities and Exchange Commission / Securities and Exchange Commission / FINRA / / Position Attorney / counsel / independent tax advisors / municipal advisors / adviser / / SocialTag Business Investment Registered Investment Advisor Financial Industry Regulatory Authority Financial adviser Registered representative Dodd–Frank Wall Street Reform and Consumer Protection Act U.S. Securities and Exchange Commission Short Financial economics

Client Alert Current Issues Relevant to Our Clients January 29, 2015 SEC Examination Priorities for 2015Add to Reading List