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SEC Enforcement Actions Against Advisers is on the Decline

December 5th, 2017

The Investment News reported this week that the Securities and Exchange Commission (SEC) has relaxed its enforcement of investment advisers under the Trump administration. In 2017 the SEC investigated 82 standalone cases against advisers and firms, compared to 98 the previous year. Enforcement actions filed by the SEC in 2017 totaled 754 cases, 114 fewer…

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