Stacy Byrd Thomas

Stacy Byrd Thomas

Holland & Knight LLP

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Exempt Reporting Advisers and SEC Scrutiny

Exempt reporting advisers (ERA) have become a topic of interest for the U.S. Securities and Exchange Commission's (SEC) Division of Enforcement due in large part to their growing popularity among the investment adviser...more

10/11/2022  /  Anti-Fraud Provisions , Compliance , Dodd-Frank , Enforcement , Exemptions , Investment Adviser , Investment Advisers Act of 1940 , Registration Requirement , Securities and Exchange Commission (SEC)
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