Rule 206(4)-1 under the Investment Advisers Act of 1940 prohibits any investment adviser (“IA”) from directly or indirectly publishing, circulating or distributing any advertisement that: (i) contains or refers to ...
On February 8, 2012 the Commodity Futures Trading Commission (“CFTC” or “Commission”) issued final regulations that repealed the widely used exemption from registration for private fund managers under CFTC Regulation ...
