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Executive ResourceA reliable Quality of Earnings (QofE) report can level the playing field between buyer and seller in M&A transactions. Learn more.
The SEC recently announced that, in its fiscal year 2022, 760 enforcement actions were filed resulting in a record $6.4 billion in money ordered from SEC actions.
Under the Investment Advisers Act of 1940, the SEC proposed a rule that would bring new audit and reporting requirements as well as prohibit certain actions.