Pittman, Edward L.; Harvey, Christopher P.; Sherman, … - In: Journal of Investment Compliance 12 (2011) 4, pp. 26-30
Purpose – The purpose of this paper is to explain the SEC staff's web site responses to a series of frequently asked questions concerning SEC Advisers Act Rule 206(4)‐5. Design/methodology/approach – The paper explains the SEC staff responses to FAQs on the ability to rely on prior...