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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’s...
3 minute read
If there’s anything scarier at Halloween than the classic 80’s horror films featuring Jason...
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Insider trading has always been a focus area for regulators. Historically, they have concentrated...
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On February 29, 2019, the SEC issued a no-action letter[1] that offered assurance that the Staff...
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On December 18, 2019, the SEC proposed an updated accredited investor definition. Accredited...
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On December 10, 2019, the SEC’s published proposed amendments to the Advertising and Solicitations...
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On November 22, 2019 the staff of the Chief Accountant’s Office of the Securities and Exchange...
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On August 21, 2019, the SEC provided guidance to Registered Investment Advisers (“RIAs”) dealing...
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Rule 206(4)-1 under the Investment Advisers Act, better known as the Advertising Rule, prohibits...