The Securities and Exchange Commission (the “Commission” or the “SEC”), on November 4, approved the publication of a substantial release (the “Release”) proposing significant amendments to the rules under the Investment...more
12/3/2019
/ Advertising ,
Books & Records ,
Business Development Companies ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Portability ,
Proposed Amendments ,
Registered Investment Companies (RICs) ,
Regulatory Agenda ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Wealth Management
The Securities and Exchange Commission (the “Commission” or the ”SEC”), on November 4, approved the publication of a substantial release (the “Release”) proposing significant amendments to the rules under the Investment...more
12/3/2019
/ Advertising ,
Disqualification ,
Financial Regulatory Reform ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Proposed Amendments ,
Recordkeeping Requirements ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Solicitation ,
Solicitation Provisions ,
Written Agreements