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SEC Says Firm's Ex-Compliance Chief Doctored Exam Forms

By Emilie Ruscoe ( July 16, 2025, 9:27 PM EDT) -- The former chief compliance officer of a previously registered investment adviser has agreed to pay $40,000 and face a three-year industry bar to resolve claims she altered about 170 forms she handed over to the U.S. Securities and Exchange Commission as part of its examination of her former firm....

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