Kevin S. Woodard Publications
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SEC Roundtable to Discuss Reg BI and Form CRS
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SEC Enforcement Action – VALIC Financial Advisors
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OCIE RISK ALERT—Cybersecurity: Safeguarding Client Accounts against Credential Compromise
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OCIE RISK ALERT—Cybersecurity: Ransomware Alert
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SEC Issues Additional Form CRS Guidance
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Dealing with Vulnerable Investors and Financial Exploitation
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SEC Orders Three Self-Reporting Advisory Firms to Reimburse Investors over Improper Share Class Selection Disclosure
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SEC Enforcement Action against Morgan Stanley Smith Barney for Providing Misleading Information to Retail Clients
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SEC Charges California Trader for Manipulative Trading Scheme Involving COVID-19 Claims
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Observations from Examinations of Investment Advisers Managing Private Funds
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