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Securities and Exchange Commission SEC announced proposed overhaul of custody framework for SEC-registered investment advisers. The proposed reforms would amend and redesignate Rule 206(4)-2 under Investment Advisers Act of 1940, as amended, as Rule 223-1 under Advisers Act.
As a reminder, the U.S. Securities and Exchange Commission (the “SEC”) adopted new rules in late 2020 (the “Marketing Rules”) that govern investment adviser advertising and use of...
SEC Proposed Rule Release 33-11048: Special Purpose Acquisition Companies, Shell Companies, and Projections - On March 30, 2022, the U.S. Securities and Exchange...