The US Securities and Exchange Commission staff (Staff) has issued revised guidance regarding the application of Rule 206(4)-1 under the Investment Advisers Act of 1940, as amended (Marketing Rule), providing flexibility for...more
3/31/2025
/ Disclosure Requirements ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
Marketing ,
New Guidance ,
Private Funds ,
Registered Investment Advisors ,
Regulatory Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
This monthly bulletin is designed to help companies identify important legal developments governing the use and acceptance of blockchain technology, smart contracts, and digital assets....more
9/27/2024
/ Blockchain ,
Cryptocurrency ,
Digital Assets ,
Enforcement Actions ,
Financial Services Industry ,
FinTech ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Non-Fungible Tokens (NFTs) ,
Regulatory Requirements ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Trading Platforms ,
Virtual Currency