Dodd-Frank brings changes to SEC adviser audits

10/29/2010 | InvestmentNews (free registration)

The Securities and Exchange Commission's audits of financial advisers will now be conducted by its Division of Investment Management rather than by its Office of Compliance Inspections and Examinations, thanks to change wrought by the Dodd-Frank financial-reform legislation, said Robert Stype, a former SEC examiner.

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