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SEC Charges Five Registered Investment Advisers For Marketing Rule Violations - Securities

The US Securities and Exchange Commission ("SEC") recently settled charges against five registered investment advisers for violations of Rule 206(4)-1 ("Marketing Rule") under the Investment Advisers Act of 1940. ....

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SEC Charges Five Registered Investment Advisers for Marketing Rule Violations | Mayer Brown

SEC Charges Five Registered Investment Advisers for Marketing Rule Violations | Mayer Brown
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SEC's Recent Rule Changes For Private Fund Advisers: What You Need To Know - Securities

On August 23, 2023, the Securities and Exchange Commission (the "SEC") enacted new rules and amendments (the "Final Rules") under the Investment Advisers Act of 1940, as amended (the "Advisers Act"). ....

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SEC Makes Sweeping Changes To Private Fund Adviser Regulatory Regime: Mandates Quarterly Reporting, Restricts Preferential Treatment And Side Letters - Financial Services

In a 3-2 vote on August 23, 2023, the Securities and Exchange Commission ("SEC" or "Commission") adopted five new rules under the Investment Advisers Act of 1940 (the "Advisers Act"). ....

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SEC Proposes Sweeping Rules on Broker-Dealer and Investment Adviser Technology Use | Morgan Lewis

The US Securities and Exchange Commission (SEC) proposed on July 26, 2023 new rules designed to address conflicts of interest from the use of predictive data analytics in “investor. ....

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