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SEC Slams Almost All Robo-Advisors With Deficiency Letters

By TRACEY LONGO
Thu, Nov 11, 2021 at 1:05PM

SEC Slams Almost All Robo-Advisors With Deficiency Letters

As the number of robo-advisors explodes, the Securities and Exchange Commission has honed its examinations on interactive digital investment advisors, including those that offer discretionary advice, uncovering a wide swath of deficiencies at almost all firms in the nation.

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