SEC proposes service provider oversight requirements for investment advisers | Eversheds Sutherland (US) LLP
On October 26, 2022, the Securities and Exchange Commission (SEC) proposed new Rule 206(4)-11 under the Investment Advisers Act of 1940 (Advisers Act), which would prohibit...
Exchange Commission Party Record Keepers Securities Exchange Eversheds Sutherland Investment Company Investment Advisers Act
Source: jdsupra.com