Jim Van Horn

Seyfarth Shaw LLP

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SEC Marketing Rule FAQ’s Unexpected Impact on Investment Performance Presentations

On January 11, the staff of the SEC’s Division of Investment Management (the “Staff”) released new guidance with respect to the current version of Rule 206(4)-1, adopted under the U.S. Investment Advisers Act of 1940 and...more

2/22/2023  /  Advertising , Investment Adviser , Investment Advisers Act of 1940 , Marketing , Securities and Exchange Commission (SEC)
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