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Keywords: Advisers Act Rule
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2015) 16 (4): 23–29.
Published: 02 November 2015
... to Part 1A of Form ADV, describes a proposed codification of SEC staff positions that provide for so-called “umbrella registrations” by closely related advisory firms, and details two proposed amendments to Advisers Act Rule 204-2, the books and records rule, which would require investment advisers...
