investment advisers act of 1940
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In an episode of the West Wing television series from the year 2000, Leo McGarry, the President’sfalse
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If there’s anything scarier at Halloween than the classic 80’s horror films featuring Jasonfalse
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Insider trading has always been a focus area for regulators. Historically, they have concentratedfalse
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On February 29, 2019, the SEC issued a no-action letter[1] that offered assurance that the Stafffalse
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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 November 22, 2019 the staff of the Chief Accountant’s Office of the Securities and Exchangefalse
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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