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Learn MoreIn November 2019, the SEC released a proposed rule amendment that modifies Rule 206(4)-3 (the Solicitation Rule) under the Investment Advisors Act of 1940. The proposed amendment (the Solicitation Amendment) modifies the…
At the end of last year, the SEC released proposed rule amendments that modify Rule 206(4)-1 (the Advertising Rule) under the Investment Advisers Act of 1940. The Advertising Rule amendments proposed by…
The California Consumer Privacy Act (the “CCPA”) passed as law on June 28, 2019 and became effective on January 1, 2020. The CCPA affects all businesses who do business in California AND…
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