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By Marlene Y. Satter, AdvisorOne |
December 13, 2012
Among recent enforcement actions taken by the SEC were charges against a Miami-based entrepreneur for defrauding investors.
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By Les Abromovitz |
January 1, 2012
This information sheet contains general information about certain provisions of the Investment Advisers Act of 1940 and selected rules under the Advisers Act. It also provides information about the resources available from the SEC to help advisors understand and comply with these laws and rules.