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This is a sample SEC examination letter that includes questions on the transition to the T+1 settlement cycle. It is similar to other sample examination letters on the T+1 settlement cycle.
Stradley’s client memo discusses key SEC enforcement statistics and themes related to investment advisers, funds and fund boards in both Fiscal Year (FY) 2024 and part of FY2025 and what to expect going forward with incoming SEC Chair Paul Atkins.
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