Any final rule would replace decades worth of SEC guidance
The 2020 will cover a broad array of topics
A “recommendation is always going to be viewed in hindsight, and it’s a very loose term”
An embattled private fund is distancing itself from the former SEC official it hired to run its own compliance program. GPB Capital says it was ...
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It doesn't always pay to listen to the boss
Reactions to the SEC's new slant on marketing
One of the audiences the Commission targets is investors
Proposal would permit testimonials, mandate compliance reviews
Commission proposing tweaking record-keeping rule in light of advertising proposal