SEC outlines 2013 priorities for examiners

02/25/2013 | InvestmentNews (free registration)

This year, examiners at the Securities and Exchange Commission will focus on investment advisers who are dually registered as broker-dealers and those who work with hedge funds and private-equity funds. Payments that funds and advisers make to companies distributing the funds will also be a focus. The SEC outlined its examiners' priorities to ensure that advisers are not caught off guard. Hear from SEC Associate Director of the Office of Analytics and Research Gregg E. Berman, a featured speaker at SIFMA Tech 2013. Register today.

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