Tag: advisers

The Investment Advisers Act requires that firms or individuals that are in the business of advising others about securities investments and are compensated for their services register with the Commission with few exceptions. A number of provisions of the Advisers …

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Examinations published a Risk Alert focusing on additional areas of the Adviser Marketing Rule that will be focused on during examinations. The supplement was published on July 8, 2023 (here) and should be considered in conjunction with the others published …

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