Welcome to our February installment of ACA’s Regulatory Update. This month, we share updates relevant to broker-dealers and investment advisers as the SEC adopted amendments to Rule.
For Investment Advisors + Broker-Dealers - SEC Announces Annual Examination Priorities for 2022. Continuing a tradition begun a decade ago, the SEC’s Division of.
LESSONS LEARNED - SEC Rules that Investors Win in Battle over Inconsistent Documentation. A private fund advisor learned that the details matter in this case brought by t.