On August 19, 2024, the U.S. Securities and Exchange Commission (SEC) settled with a registered investment adviser (Adviser),1 whereby the Adviser paid a $95,000 civil money penalty in addition to being censured for...more
9/5/2024
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Closed-End Funds ,
Federal Elections ,
Government Entities ,
Government Officials ,
Investment Adviser ,
Pay-To-Play ,
Policies and Procedures ,
Political Contributions ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC)
Rule 206(4)-1, as amended (the Marketing Rule), continues to be an area of focus for the U.S. Securities and Exchange Commission (SEC). On April 17, 2024, the SEC Division of Examinations (Division) published a risk alert...more