Peter Shea

Seward & Kissel LLP

+ Follow Contact

Latest Posts › Compliance

Share:

SEC Staff Updates FAQs Regarding Marketing Rule Compliance – Gross and Net Performance

On March 19, 2025, the staff of the Division of Investment Management (the “SEC Staff”) of the Securities and Exchange Commission (the “SEC”) released an update to its Frequently Asked Questions1 (the “FAQs”) relating to...more

3/25/2025 / Compliance , Investment , Investment Adviser , Investment Advisers Act of 1940 , Investment Management , Securities and Exchange Commission (SEC) , Securities Regulation

1 Results

View per page

Page: of 1

Peter Shea

Seward & Kissel LLP

Popular Topics by This Author

Latest Posts › Compliance

SEC Staff Updates FAQs Regarding Marketing Rule Compliance – Gross and Net Performance

"My best business intelligence, in one easy email…"