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Regulation of Custodial Practices Under the Investment Advisers Act of 1940 Rule 206(4)-2

USA - November 22 2022 The SEC has regulated custodial practices of investment advisers since 1962, when it first adopted rule 206(4)-2 (the “Custody Rule”) under the…

Mark S. Audet

The Bottom Line of Complying with the SEC’s Q New Marketing Rule

USA - October 14 2022 In the late fall of 2020, the SEC implemented rule amendments which created a single rule, the Marketing Rule, that replaces the current Advertising…

Nicholas C. Noon, Robert H. Sutton

The Bottom Line of Complying with the SEC’s Q New Marketing Rule

USA - October 14 2022 In the late fall of 2020, the SEC implemented rule amendments which created a single rule, the Marketing Rule, that replaces the current Advertising…

Nicholas C. Noon, Robert H. Sutton

SEC Issues Risk Alert Announcing Exams Focused on New Marketing Rule

USA - September 22 2022 On Monday, September 19, 2022, the SEC's Division of Examinations issued a Risk Alert announcing their intent to conduct targeted reviews of…

Mark S. Audet, Robert H. Sutton

Regulation of Custodial Practices under the Investment Advisers Act of 1940 Rule 206(4)-2

USA - June 22 2022 The SEC has regulated custodial practices of investment advisers since 1962 when it first adopted rule 206(4)-2 (the “Custody Rule”) under the…