SEC Finalizes Reforms Under Investment Advisers Act
By EsqSocial Corporation 07/01/21
In this Issue. The Securities and Exchange Commission (SEC) finalized reforms under the Investment Advisers Act to modernize rules that govern investment adviser advertisements and payments to solicitors, and published a risk alert containing observations from completed regulatory examinations that were focused on broker-dealer and investment adviser compliance; the Consumer Financial Protection Bureau (CFPB) issued an advisory opinion for developing Equal Credit Opportunity Act-compliant...
By: Goodwin