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SEC Proposes Rule On Outsourcing By Investment Advisers - Securities
On October 26, 2022, the Securities and Exchange Commission ("SEC") proposed Rule 206(4)-11, a new rule ("Proposed Rule") under the Investment Advisers Act of 1940 ("Advisers Act") that .
Karen barr
Gary gensler
Exchange commission
Service provider
A service provider
Service providers in form
Service providers
Oversight of service providers
Adviser association
Advisers act
Proposed rule
Chair gary gensler
Covered function
Covered functions
Service providers serving
Records rule
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