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FinTech Law Blog

Category: Federal Regulations


Marketing Rule Crackdown: SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers

Cody Foster - September 22, 2023

SEC Enhances Regulations of Private Fund Advisers

Cody Foster - September 08, 2023

SEC Announces First Enforcement Action of Amended Marketing Rule

Cody Foster - August 25, 2023
AdobeStock 359683348 - SML

New Exemption for Small Business M&A Brokers

Irina Garcia Iglesias - February 21, 2023