On November 2, 2020, the U.S. Securities and Exchange Commission (SEC) voted to adopt amendments proposed in March 2020 that harmonize and modernize the exempt offering framework (referred to as the Amendments). As with several other recent votes to adopt rule proposals, the SEC Commissioners split their vote, with two Commissioners voting against the Amendments.
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Latest Perspectives
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February 032023
Regulation Best Interest – SEC Observations from Broker-Dealer Examinations
SEC risk alert highlights areas of deficiencies and examples of weak practices
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February 022023
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