Adam Bolter investment funds law Katten counsels investment advisers, broker dealers, private funds, and mutual funds on regulatory compliance with federal securitie
On April 12, 2024, the SEC imposed fines and other sanctions on five registered investment advisers for violations of the Investment Adviser Marketing Rule (Rule 206(4)-1), which has now been in effect for nearly a year and a half.
On April 12, 2024, the U.S. Securities and Exchange Commission (the “SEC”) announced settled charges against five registered investment advisers for violations of Rule 206(4)-1 (the.
The Proposed Amendments would permit FINRA members to include targeted returns or projected performance solely if the communication is either: (i) an “institutional communication” as.
A series of recent actions by the Securities and Exchange Commission (SEC) and its staff should prompt registered investment advisers (RIAs) to reassess their risk tolerance for some.