On November 4, 2019, the U.S. Securities and Exchange Commission (SEC) proposed significant amendments to the rules under the Investment Advisers Act of 1940 (Advisers Act) governing investment adviser advertisements and...more
11/19/2019
/ Advertising ,
Books & Records ,
Broker-Dealer ,
Cash Solicitation Rule ,
Disclosure Requirements ,
Endorsements ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investors ,
Pooled Investment Vehicles ,
Portability ,
Private Funds ,
Proposed Amendments ,
Recordkeeping Requirements ,
Retail Investors ,
Securities and Exchange Commission (SEC)