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SEC Exams Chief Puts Focus On New Technology, New Firms

By Diana Novak Jones (February 5, 2019, 4:09 PM EST) -- The U.S. Securities and Exchange Commission's Office of Compliance Inspections and Examinations is on the front lines of regulating America's capital markets. Responsible for inspecting thousands of SEC-registered firms, the office helps ensure that firms play by the rules and the commission is up to speed with the emerging and persistent risks in the investment industry....

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