Investment Management Regulatory Update - September 2016
SEC Rules and Regulations
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SEC Issues Notices of Intent to Issue Orders for Approved FINRA and MSRB Pay-to-Play Rules
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SEC Adopts Amendments to Form ADV and Advisers Act Rules
Litigation
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Investment Advisers Charged with Advertising False Performance Claims
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SEC Actions Focus on Private Equity Fees, Conflicts and Supervision
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Federal Court Rules in Favor of Adviser in Section 36(b) “Manager of Managers” Excessive Fee Suit
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