Month: September 2022

The Division of Examinations issued a Risk Alert on September 19, 2022 focused on Advisers Act Rule 206(4)-1, the Advertising Rule, adopted on December 22, 2020. The Rule becomes effective on November 4, 2022 (here). Advisers can adopt the Rule …

The New Marketing Rule: Division of Examinations Alert Read More »

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Chair Gensler recently stated that regulation for crypto assets may be years in the future. Others do not agree, many of whom are in Congress. At the same time the actual question may be if crypto assets need or require …

This Week In Securities Litigation (Week of September 19, 2022 Read More »