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  • Registration of Related Entities of a Registered Investment Adviser — SEC Issues No-Action Letter Interpretive Guidance Regarding "Umbrella Registrations"

01/29/2012 07:00:00 PM EST

Registration of Related Entities of a Registered Investment Adviser — SEC Issues No-Action Letter Interpretive Guidance Regarding "Umbrella Registrations"

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Corporate law Articles on Martindale.com

On January 18, 2012, the Securities and Exchange Commission (the “SEC”) issued a no-action letter (the "2012 Staff Letter") addressed to the American Bar Association, Business Law Section, providing interpretive guidance in a question Read More...