Open letter from the SEC

Bal  December 23 2008 08:41:07 AM

Some of you may have run into this; it was posted on the sec.gov website earlier this month. For those of you that may not have seen it, it's a gentle reminder from the SEC to all registered firms that despite the rough financial situation, organizations are still expected to meet their compliance requirements.

Although, this particular letter is limited to SEC regulated organizations, there is no doubt the sentiment applies to all other regulations as well. So as you make your plans for '09 and beyond, please don't lose sight of your regulatory and compliance obligations. And be sure to contact us, if you believe we might be able to help.

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