Tag: exams

The Division of Examinations issued a Risk Alert on September 19, 2022 focused on Advisers Act Rule 206(4)-1, the Advertising Rule, adopted on December 22, 2020. The Rule becomes effective on November 4, 2022 (here). Advisers can adopt the Rule …

The New Marketing Rule: Division of Examinations Alert Read More »

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Insider trading was the focus this week, with the Supreme Court hearing argument in Salman v. U.S. The argument centered on the meaning and application of the Court’s 1983 decision in Dirks which drew a line between the prohibited an …

This Week In Securities Litigation (Week ending Oct. 7, 2016) Read More »

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