Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

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Tuesday, April 13, 2010

SEC Announces Policy of Unscheduled Adviser Visits

An SEC compliance official recently announced that OCIE is indefinitely suspending its regularly-scheduled examinations of investment advisers and instead is conducting unannounced inspections based on tips of wrong-doing.  Obviously in response to the Madoff scandal, the new policy leads industry people to worry that competitors may plot to make their lives miserable.  InvNews, SEC's new adviser exam schedule: 'We simply show up'

http://lawprofessors.typepad.com/securities/2010/04/sec-announces-policy-of-unscheduled-adviser-visits.html

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