Kevin S. Woodard Publications
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SEC Division of Examinations Risk Alert: Initial Observations Regarding Advisers Act Marketing Rule Compliance
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Internet Adviser Registration Reforms
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Senvest Management Enforcement Action – Electronic Communications
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Division of Examinations: 2024 Examination Priorities for Investment Advisers
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Investment Advisors: Assessing Risks, Scoping Examinations and Requesting Documents
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SEC Enforcement Actions Related to the Marketing Rule and Hypothetical Performance Data
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Safeguarding Customer Records and Information at Branch Offices
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Division of Examinations Risk Alert, March 27, 2023: Observations from Examinations of Newly-Registered Advisers
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Division of Examinations: 2023 Examination Priorities for Investment Advisers
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DCS ALERT: SEC Enforcement Action Related to Conflicts of Interest