SECUncategorized The Investment Adviser Advertising Rule Laura Anthony, Esq.December 27, 2017 On September 14, 2017, the SEC Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert identifying the most f... 040900
Regulation SHORisk AlertSEC GuidanceSecurities AttorneysUncategorized SEC Issued Risk Alert on Options Trading Used to Evade Short Sale Requirements Laura Anthony, Esq.August 15, 2013 024900