The U.S. Securities and Exchange Commission (SEC or Commission) has adopted new Rule 30e-3 under the Investment Company Act of 1940 (1940 Act)1 that provides an optional “notice and access” method to allow certain registered...more
6/30/2018
/ Fees ,
Internet ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
New Rules ,
Notice Requirements ,
Public Comment ,
Registered Investment Companies (RICs) ,
Reporting Requirements ,
Rule 30e-3 ,
Securities and Exchange Commission (SEC) ,
Shareholder Rights ,
Website Accessibility
The U.S. Securities and Exchange Commission (SEC or Commission) recently proposed amendments to Form ADV and to Rule 204-2 (Recordkeeping Rule) and other rules under the Investment Advisers Act of 1940, as amended (Advisers...more
7/17/2015
/ CCO ,
Disclosure Requirements ,
Dodd-Frank ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
RAUM ,
Recordkeeping Requirements ,
Risk Assessment ,
Securities and Exchange Commission (SEC) ,
Social Media ,
Umbrella Registration