News & Analysis as of

Exempt Reporting Advisers (ERAs) › Custody Rule › Registration Requirement

Lowenstein Sandler LLP

When Two Become One: Navigating the Complexities of Operational Integration

Lowenstein Sandler LLP on

On September 20, 2024, the U.S. Securities and Exchange Commission (SEC) announced a settlement with an investment adviser for, among other things, failure to register with the SEC as an investment adviser. The SEC found that...more

1 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide