Return to search

SEC Chairman Gensler solicits comments on IA definition

"The request seeks comment about these and other questions on whether these information providers are providing investment advice under particular facts and circumstances, and thus acting as “investment advisers” under the securities laws"

To read this article, you need to sign in.

You should only be asked to sign in once. Not the case? Click here

New to Regulatory Compliance Watch?

Register now to read this article and more for free.