Tag: Investment Advisers Act of 1940

SPAC Rules
Law News

SEC Proposes to Enhance Private Fund Investor Protection

Introduction to the Investment Advisers Act of 1940 The Act regulates investment advisers – firms and indivuals who are compensated for advising others about securities investments. The Act requires such advisers to register with the SEC and conform to regulations designed to protect investors. Since the Act was amended in […]

Brokers

SEC Files Complaint against Internet Newsletter

 By Mark J. Astarita, Esq. October 27, 1998 – The SEC announced the filing of a complaint in the U.S. District Court for the Northern District of Texas seeking a seclaw.com/glossary/permanent-injunction/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>permanent injunction and civil penalty against the author of an investment newsletter which was published on the Internet. The complaint […]