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5 minute read
On December 22, 2020, the SEC adopted a modernized Marketing Rule, which will govern advertisementsfalse
3 minute read
In his opening remarks at the National Investment Adviser/Investment Company Compliance Outreachfalse
3 minute read
The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a risk alert onfalse
5 minute read
The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a risk alert onfalse
2 minute read
In an episode of the West Wing television series from the year 2000, Leo McGarry, the President’sfalse
3 minute read
If there’s anything scarier at Halloween than the classic 80’s horror films featuring Jasonfalse
3 minute read
On August 12, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued afalse
2 minute read
On July 27, 2020, the SEC staff Standards of Conduct Implementation Committee (“Committee”) issuedfalse
5 minute read
On June 23, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published afalse