All SEC-registered investment advisers (“advisers”) are required to annually renew their state notice filings and state representative and branch registrations through the IARD Renewal Program.
Preliminary renewal...more
The Securities and Exchange Commission (the “SEC”) recently proposed new rule 206(4)-11 and related recordkeeping and reporting requirements (collectively, the “Proposed Rule”) under the Investment Advisers Act of 1940 (the...more
The staff (“Staff”) of the Securities and Exchange Commission issued a FAQ (the “FAQ”) relating to an investment adviser’s consideration of factors relating to diversity, equity, and inclusion (“DEI”) when recommending...more