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Latest News & Guidance
SEC shows no signs of delaying implementation of revised custody rule
Jump SEC exam hurdles for best ex, portfolio management and advertising
Life's all about timing: Adviser quits as SEC examiners arrive
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Litigation Release : Presstek, Inc. and Edward J. Marino
Litigation Release : Salvatore Zangari
Litigation Release : Darko S. Mrakuzic
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02/16/2010
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01/25/2010
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09/17/2009
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08/05/2009
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01/11/2010
A 407 Letter
01/06/2010
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03/01/2008
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03/01/2008
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New Type of SEC Request Letter
01/05/2010
Mountain States SEC Letter
11/24/2009
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Form ADV, Part II Template
12/10/2009
Disclosing Soft Dollars
10/22/2009
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