Focus 1 Associates LLC > RIA Compliance Blog > 2013 > March

Monthly Archives: March 2013

Improper SEC Registration

The Securities and Exchange Commission filed 734 enforcement actions in the fiscal year that ended September 30, 2012. In the area of Investment Advisers, the SEC filed several actions as a result of the compliance initiative, looking for advisers who … Read More ›

SEC Exam Priorities 2013

On February 21, 2013 the SEC published its examination priorities for 2013. Carlo V. di Florio, Director of the SEC’s Office of Compliance Inspections and Examinations says “we are publishing these priorities to promote compliance and communicate with investors and … Read More ›