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Les Abromovitz
Recent Posts
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On August 27, 2013, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) publishedfalse
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According to an Investment News article written by Mark Schoeff Jr. and posted on March 11, 2020,false
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Recent enforcement actions make it clear how important it is for investment advisors to make fullfalse
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On January 7, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announcedfalse
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On December 18, 2019, the SEC proposed an updated accredited investor definition. Accreditedfalse
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On December 10, 2019, the SEC’s published proposed amendments to the Advertising and Solicitationsfalse
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On August 21, 2019, the SEC provided guidance to Registered Investment Advisers (“RIAs”) dealingfalse
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Rule 206(4)-1 under the Investment Advisers Act, better known as the Advertising Rule, prohibitsfalse
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On July 23, 2019, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) summarizedfalse