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US SEC issues alert to prepare broker-dealers for examination

( June 5, 2024, 17:35 GMT | Official Statement) -- MLex Summary: The US Securities and Exchange Commission published a risk alert to help broker-dealers prepare for an examination. The alert provides information regarding what staff may consider when selecting firms to examine and areas of focus for the examination. It also provides the types of information, including documents, staff may initially request during an examination of a broker-dealer. See document below. ...

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