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Investors Investment Adviser Administrative Procedure Act

Carlton Fields

Courts May Call “Lane Violation” on Recent SEC Actions

Carlton Fields on

With increasing frequency, petitioners representing the securities industry are asking courts to decide that rules adopted by the SEC exceed the agency’s authority, even when the rules have barely left the starting blocks....more

ArentFox Schiff

Significant New Private Fund Rules Adopted by SEC

ArentFox Schiff on

On August 23, 2023, in its efforts to promote transparency for investors by increasing visibility into compensation schemes, sales practices, and conflicts of interest, the US Securities and Exchange Commission (SEC) adopted...more

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