Investment Advisers

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SEC Staff Report Relating to the Use of Data Collected from Form PF

By Jill Radloff on 08/01/2013

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SEC Commissioner Speaks to Role of Proxy Advisory Firms

By Jill Radloff on 07/15/2013

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Final SEC Rule Disqualifying Bad Actors From Rule 506 Offerings

By Steve Quinlivan on 07/12/2013

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General Solicitation Under the Final JOBS Act Rules

By Steve Quinlivan on 07/11/2013

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SEC Awards and Denies Whistleblower Claims in Hedge Fund Case

By Steve Quinlivan on 06/12/2013

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Governor Dayton Signs Investment Adviser Bill

By David Jenson on 05/28/2013

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ISS Charged with Selling Shareholder Vote Data; Agrees to $300,000 Settlement

By David Jenson on 05/24/2013

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Court Finds Internal Reporting by Whistleblower Entitled to Dodd-Frank Protections

By Steve Quinlivan on 05/23/2013

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Don’t Lie About Assets Under Management

By David Jenson on 04/18/2013

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Final Red Flags Rules Adopted by SEC and CFTC

By David Jenson on 04/10/2013

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