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Brian Hamburger on Surging Merger Business in RIAs

Masters in Business

00:00

The SEC's Audit Procedure

The SEC's regulatory exams have gotten better and they've gotten better primarily because the SEC has more data. The thing I can share is that there's a zero mortality rate, you know, attached to regulatory exams. But there are fines, there are like, hey, you guys suck, you better get your act together.

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