This is one of the SEC's proposed new Advisers Act rules targeting private fund advisers
This is the SEC's proposed new rule that would require advisers to report cybersecurity incidents via new proposed Form ADV-C
This is the SEC's proposal for a cybersecurity rule for investment advisers
Provides for compensation to the investment adviser on the basis of a share of the capital gains
This is the SEC's new IA advertising rule approved in December 2020
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) It shall be unlawful for any investment adviser required to be registered pursuant to section 203 of the Act to pay a cash fee, ...
You must file all amendments to Part 1A of Form ADV and Part 2A of Form ADV electronically with the IARD, unless you have received ...
(a) An investment adviser, or a person registered as a broker-dealer under section 15 of the Securities Exchange Act of 1934 and controlling, controlled by, ...