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4 minute read
Rule 206(4)-1 under the Investment Advisers Act, better known as the Advertising Rule, prohibits...
1 minute read
A recent alert published on July 31, 2019 from the North American Securities Administrators...
3 minute read
On July 23, 2019, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) summarized...
2 minute read
For more than a year now, Opportunity Zones and their related funds and businesses have been...
3 minute read
On May 23, 2019, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a...
1 minute read
SEC announces new “smaller fund outreach effort”
2 minute read
5 minute read
SEC Adopts Advice Standards and Form CRS (“Client Relationship Summary”) for Broker-Dealers and RIAs
On June 5, 2019, the SEC adopted Regulation Best Interest and the new Form CRS Relationship...
4 minute read
On April 29, 2019, Peter Driscoll, Director of the SEC’s Office of Compliance Inspections and...