The SEC recently settled charges against five registered investment advisers for violations of the marketing rule (“Marketing Rule”) under the Investment Advisers Act of 1940 (“Advisers.
The U.S. Securities and Exchange Commission has stopped enforcement of a rule requiring companies to disclose information about their efforts to fight climate change, pending the outcome of lawsuits filed in Louisiana and elsewhere.
At the recent meeting of the Employee Benefits and Executive Compensation Subcommittee at the ABA’s Business Law Fall meeting, moderators identified several hot topics stemming from the.