On December 1, 2020, the New York State Department of Law finalized proposed amended regulations to the New York Investment Advisory Act, 13 N.Y.C.R.R. Section 11, requiring investment adviser representatives (“IAR”) who...more
On December 22, 2020, the Securities and Exchange Commission (SEC) released an amended, “modernized” Rule 206(4)-1 of the Investment Adviser’s Act of 1940 (the “Marketing Rule”) citing advancements in technology, changes in...more