Tom Bohac

Tom Bohac

Locke Lord LLP

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SEC Adopts Amendments To The Books And Records Rule And To Form ADV Addressing Separately Managed Accounts, Social Media, And...

On August 25, 2016, the Securities and Exchange Commission (the “SEC”) adopted amendments to rules promulgated under the Investment Advisers Act of 1940 (the “Advisers Act”) and the investment adviser registration and...more

9/13/2016  /  Books & Records , Derivatives , Disclosure Requirements , Form ADV , Investment Adviser , Investment Advisers Act of 1940 , Securities and Exchange Commission (SEC) , Umbrella Registration
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