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EXAMS’ Initial Observations — The Amended Marketing Rule

Posted on April 17, 2024 by T. Gorman Posted in SECActions

The Division of Examinations or EXAMS published a risk alert on April 17, 2024, regarding the amended Marketing Rule for investment advisers, Rule 206(4)-1. The Observations are divided into two sections. The first focuses on books, records and Form ADV. …

EXAMS’ Initial Observations — The Amended Marketing Rule

Tagged with: amended marketing rule, SEC

This Week In Securities Litigation (Week of April 15, 2024)

Posted on April 14, 2024 by T. Gorman Posted in SECActions

Last week the Commission resolved two litigated actions. One involved the so-called “shadow” insider trading case in which a jury returned a verdict in favor of the agency in a case where Defendant did not trade in the securities involved …

This Week In Securities Litigation (Week of April 15, 2024)

Tagged with: Insider trading, offering fraud, SEC

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EXAMS’ Initial Observations — The Amended Marketing Rule

This Week In Securities Litigation (Week of April 15, 2024)