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investment advisor
1 minute read
Several states adopted measures granting temporary relief to investment advisor registrantsfalse
1 minute read
Effective February 1, 2021, New York will require Investment Advisor Representatives (IARs) tofalse
3 minute read
On August 12, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued afalse
4 minute read
On December 10, 2019, the SEC’s published proposed amendments to the Advertising and Solicitationsfalse
3 minute read
The term “fiduciary” has received great attention in investment-services compliance recently. Itfalse
3 minute read
On September 4, 2019, The Securities and Exchange Commission’s (“SEC”) Office of Compliancefalse
