Search for: "Stern v. State Board of Law Examiners"
Results 41 - 42
of 42
Sorted by Relevance
|
Sort by Date
18 Dec 2023, 2:48 pm
State-registered advisers need to examine their states’ regulations to determine who constitutes a “client. [read post]
20 Oct 2023, 2:40 pm
The SEC’s active approach to enforce the New Marketing Rules sends a stern reminder to SEC-registered fund managers to remain diligent when preparing marketing materials. [read post]
