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Regulatory Matters with Deborah Froling

Guest Expert: DPP Broker-Dealer Takeaways from the SEC’s OCIE Alert on Structured Securities

On August 24, 2015, the SEC’s Office of Compliance Inspections and Examinations (OCIE), issued its National Exam Program Risk Alert entitled…

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Deborah Froling shares thoughts on the SEC's Small Business Forum discussion of accredited investor standards

Accredited Investor Standard:  Changes May Be Coming?

Contributor to The DI Wire on regulatory matters, Deborah Froling, shares thoughts on the accredited investor determination debate…

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