Kelley Howes

Kelley Howes

Morrison & Foerster LLP

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SEC Announces Settlements Resulting from the Share Class Selection Initiative

On March 11, 2019, the SEC announced settlements with 79 investment advisers who self-reported violations of the Investment Advisers Act of 1940 (the “Advisers Act”) in connection with the Division of Enforcement’s Share...more

3/14/2019  /  Investment Adviser , Investment Advisers Act of 1940 , Securities and Exchange Commission (SEC) , Share Class Selection Disclosure Initiative (SCSD) , Share Classes
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