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Keywords: Securities and Exchange Act of 1934
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Journal Articles
Mark M. Attar, Marguerite Bateman, Jack P. Drogin, Domenick Pugliese, Rachael Leah Schwartz, Kimberly Karcewski Vargo
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2018) 19 (4): 6–12.
Published: 31 October 2018
... Investment advisers Investment Advisers Act of 1940 Broker-dealers US Securities and Exchange Commission (SEC) Securities and Exchange Act of 1934 On April 18, 2018, the Securities and Exchange Commission (SEC) concurrently issued three releases, all related to standards of conducts for investment...
