Advice on the SEC’s Cash Solicitation Rule Risk Alert

20 November 2018

On October 31st, the SEC specifically addressed the Cash Solicitation Rule in its risk alert titled, “Halloween Risk Alert.”  Well, now we know the SEC has a sense of humor… or is trying to.  But in all seriousness, when OCIE issues a risk alert, you should take note. Why…?  Because OCIE’s risk alerts are issued asRead More »