WebbThe 1934 Act regulates the securities exchanges and the over-the-counter markets, securities broker-dealers, and transfer and clearing agents. 3. Investment Company Act of 1940 (“1940 Act”) The 1940 Act regulates open- and closed-end investment companies, as well as their investment advisers and principal underwriters. 4. WebbRegulation of Custodial Practices under the Investment Advisers Act of 1940 is a comprehensive outline summarizing SEC regulatory requirements for investment …
Robert E. Plaze - Partner - Proskauer Rose LLP LinkedIn
Webb22 juni 2024 · Regulation of Custodial Practices under the Investment Advisers Act of 1940 is a comprehensive outline summarizing SEC regulatory requirements for investment … WebbRobert Plaze advises investment advisers, investment companies, hedge funds, private equity funds and their service providers on regulatory and compliance issues under the … cheap techwear brands
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