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SEC Policy Shift Calls for Advisor Action
Commentary September 18, 2025 at 02:25 PM
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What You Need To Know
- The SEC’s focus on investment advisors, particularly those serving retail investors, persists.
- SEC examiners are issuing more detailed deficiency letters giving firms the opportunity to self-correct. Firms should not mistake this opportunity for indifference.
- Examiners have not slowed down or pulled back and the SEC has continued to emphasize advisers’ fiduciary duties.
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