Technology Law Dispatch

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2 results for: sec

11/9/2022 2:07:12 PM

SEC proposal on outsourcing by investment advisers

By Howard Womersley Smith Will Atherton Kile Marks

On October 26, 2022, the Securities and Exchange Commission (SEC) issued a new rule proposal that would prohibit registered investment...

3/9/2022 4:58:22 PM

By Howard Womersley Smith Kile Marks Eric Manski +1 more...

The Securities and Exchange Commission (SEC) is proposing new rules to require registered funds (RFs) and investment advisers (RIAs) to...