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Searching Content indexed under Securities by Maurine Bartlett ordered by Published Date Descending.
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Commission Interpretation – Standard Of Conduct For Investment Advisers
The Securities and Exchange Commission (the "SEC") on June 5, 2019 released an interpretation of the standard of conduct required by the Investment Advisers Act of 1940 (the "Advisers Act") of investment advisers as fiduciaries to their clients.
United States
11 Jul 2019
2
The Trump Administration: Change By Appointment
Many experts are engaged in educated speculation about the regulatory priorities of the now-forming Trump Administration.
United States
23 Nov 2016
3
SEC Adopts Significant Amendments To Private Placement Rules: JOBS Act Rules Eliminate Ban On General Solicitation And Dodd-Frank Mandate Disqualifies Bad Actors
On July 10, 2013, the U.S. Securities and Exchange Commission adopted rule changes that will permit "general solicitation and general advertising" in "private" securities offerings.
United States
15 Aug 2013
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