Developments in Securities Regulation, Corporate Governance, Capital Markets, M&A and Other Topics of Interest. MORE
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SEC Seeks Comment on Application of Custody Rule to Digital Assets
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SEC Proposed Interpretive Guidance for Investment Advisers: Implications for Private Equity
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SEC Proposes Regulation Best Interest for Broker-Dealers
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SEC Charges Platinum Equity for Misallocation of Broken Deal Expenses
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SEC Identifies Most Frequent Compliance Issues Associated with Advertising by Investment Advisers
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Common Deficiencies Noted in Exams of Minnesota Registered Investment Advisers
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SEC Updates Form ADV
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SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans
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Legislation Amending Volcker Rule Passes in House
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