Year: 2023

The talk of the town – or at least the world of the Commission – was the ruling in SEC v. Ripple, 20 Civ 0832 (S.D.N.Y. File Dec. 22, 2020) last week. The action centers the what the firm calls …

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Examinations published a Risk Alert focusing on additional areas of the Adviser Marketing Rule that will be focused on during examinations. The supplement was published on July 8, 2023 (here) and should be considered in conjunction with the others published …

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