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SIFMA Contests Cost of SEC Audit Estimations HW+

Aug 11, 2009By

A rule proposed by the Securities and Exchange Commission (SEC) that may enforce transparency among investment advisers may soon have those advisers paying for costly annual examinations of client assets.  However, the Securities Industry and Financial Markets Association (SIFMA), a trade body representing the capital markets, says the eight grand cost estimation put forth by the SEC will more likely run into the hundreds of thousands, if not millions, of dollars.

3d rendering of a row of luxury townhouses along a street

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