The Securities and Exchange Commission (the “SEC” or the “Commission”) is publishing an interpretation of section 202(a)(11)(C) of the Investment Advisers Act of 1940 (the ...
The OCC, Board, FDIC, SEC, and CFTC (individually, an Agency, and collectively, the Agencies) are inviting comment on a proposal to amend the regulations implementing ...
(a) Form ADV-W. You must file Form ADV-W to withdraw from investment adviser registration with the Commission (or to withdraw a pending registration application). (b) ...