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Client Alert
SEC Provides Additional Guidance on Performance Presentation and Subscription Facilities
February 23, 2024
Client Alert
2024 Investment Management Regulatory and Compliance Calendar and Guidebook
January 31, 2024
Client Alert
SEC Proposes New Safeguarding Rule to Replace Custody Rule, With Widespread Implications
March 6, 2023
Client Alert
Investment Management Regulatory & Compliance Calendar and Guidebook 2023
February 2, 2023
Client Alert
Investment Management Regulatory & Compliance Calendar and Guidebook 2022
January 24, 2022
Client Alert
SEC Examinations Division Focuses on Principal Transactions and Cross Trades in Fixed Income Markets
August 2, 2021
Client Alert
SEC Division of Examinations Continues to Focus on Digital-Asset Securities
April 15, 2021