Category: SECActions

Investment advisers registered with either the Commission or a state agency have a special relation with their clients. This is illustrated by the fact that under the federal securities laws they have not just a close relation but more – …

Mission: Chair Atkins began by declaring that “it is a new day at the SEC . . .” (emphasis original). That new day will focus on what he identified as the agency mission: 1) protecting investors; 2) capital formation and …

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