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Bad Actors › Disclosure Requirements › Financial Industry Regulatory Authority (FINRA)

Akin Gump Strauss Hauer & Feld LLP

Investment Management Special Report - 2017-18 Compliance Developments & Calendar for Private Fund Advisers

Akin Gump Strauss Hauer & Feld LLP on

Introduction - Despite an anticipated de-regulatory push, there are significant new regulatory concerns for investment advisers to address in connection with their annual review of their compliance manuals. ...more

Morrison & Foerster LLP - JOBS Act

Comparison of Rule 506(d) “Bad Actor” Provisions to FINRA Forms U4 and U5

Morrison & Foerster LLP - JOBS Act on

Rule 506(d) uses significantly different language from FINRA Forms U4 and U5. Below is a correlation of Rule 506(d) disqualifying events to comparable FINRA Forms U4 and U5 disclosure obligations. FINRA Form U5 disclosure...more

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