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Searching Content indexed under Investment Strategy by Ropes & Gray LLP ordered by Published Date Descending.
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SEC Adopts Regulation Best Interest And Issues Interpretive Release On The "Solely Incidental" Exclusion
On June 5, 2019, the SEC adopted two rules and published two interpretations "designed to enhance the quality and transparency of retail investors' relationships with investment advisers and broker-dealers."
United States
27 Jun 2019
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Investment Management Update: July 2011
On June 22, 2011, the Securities and Exchange Commission ("SEC"), state regulators and the Financial Industry Regulatory Authority ("FINRA") announced that a registered investment adviser and its broker-dealer affiliate, plus two employees.
United States
14 Jul 2011
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