In 2023, the Securities and Exchange Commission issued various proposed rules on regulatory changes that will affect SEC-registered investment advisers (RIAs). Since these rules are likely to be put into effect, RIAs should...more
1/12/2024
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Conflicts of Interest ,
Custody Rule ,
Cybersecurity ,
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Investment Advisers Act of 1940 ,
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Proposed Rules ,
Registered Investment Advisors ,
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Securities and Exchange Commission (SEC)
On December 22, 2020, the SEC adopted amended Rule 206(4)-1 under the Investment Advisers Act of 1940, updating the rules governing investment adviser marketing ("Marketing Rules"). The new Rule replaces the currently...more