Your article was successfully shared with the contacts you provided. The SEC proposed a new rulemaking on May 10, mandated under Dodd-Frank Section 418, that would increase the dollar amount ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

Section 205(a)(1) of the Investment Advisers Act of 1940 (“Advisers Act”) generally prohibits an investment adviser from entering into, extending, renewing, or performing any investment advisory ...