‘Enforcement 40’ for 2020
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By Securities Docket on June 11, 2018, 8:41 am
The rules, as they pertain to RIAs, are essentially a reaffirmation of behavior that already is acknowledged in the industry plus a few clarifications, says Jim Lundy, a partner in Drinker Biddle & Reath LLP’s Chicago office and a securities lawyer. “The takeaway is this is not new guidance,” he says. It reaffirms aspects of […]