Investment Adviser › Disclosure Requirements

SEC Settles Suit for Misleading Advisory Contract Approval Disclosure

Settlement with mutual fund directors and service providers serves as a reminder of responsibilities for disclosures relating to the approval of investment advisory contracts and provides insight into SEC enforcement...more

Brownstein Hyatt Farber Schreck, LLP Dodd-Frank Act Client Alert

On July 21, 2010, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (the...more

July, 21, 2010: Dodd-Frank Act Signed into Law & SEC Commissioners Approve Amendments to Form ADV, Part 2

In This Issue: *Dodd-Frank Act Signed into Law *SEC Commissioners Approve Amendments to Form ADV, Part 2 Please see full alert below for more information....more