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Expert Analysis

2nd Circ. Adviser Liability Ruling May Shape SEC Enforcement

By Elisha Kobre ( March 29, 2024, 4:27 PM EDT) -- The U.S. Court of Appeals for the Second Circuit on March 13 issued a highly consequential decision in U.S. Securities and Exchange Commission v. Rashid, interpreting and applying the mental state for liability of investment advisers under the Investment Advisers Act....

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