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The last two years have seen the SEC adopt rules providing investors with disclosures on emerging risks like climate control, cybersecurity and SPACs
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A lot has changed since 2003, especially with technology and the internet, so SEC commissioners have approved a new final rule revising its two decades-old ...
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Among other things, EXAMS may review whether and how Registrants have evaluated the potential impact of the final rules on their: (i) business activities; (ii) ...
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This final rule modernizes the internet advisers' rules to account for the evolution in technology and the investment advisory industry since the initial adoption of ...
"I was pleased to support these amendments because they modernize a 22-year-old rule to better protect investors in a digital age"
Cases 'should serve notice to the investment industry,' Enforcement Division Director Grewal says in video.
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A source passes on several examples of death and arbitration clauses
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Check out this example of an IA agreement
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Several states have or hope to pass rules that target ESG investing, including one that proposes to make it a criminal offense to invest funds ...
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Covered advice would include recommendations on investment strategies and advice on how rollover proceeds should be invested
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