SEC's 2014 exams will prioritize "never-been-examined" RIAs

10/31/2013 | InvestmentNews (free registration)

Next year, the Securities and Exchange Commission plans give top priority to reviewing registered investment advisers who have never faced examination, says Andrew Bowden, director of the SEC Office of Compliance Inspections and Examinations. About 4,000 RIAs have never been visited by an examiner, he says.

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