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CALIFORNIA CORPORATE & SECURITIES LAW

Attention Investment Advisers: Rules Are Not Statutes

Last week, I cautioned the students in my Securities Regulation class that while it can be helpful to review the SEC filings of other registrants, one should never assume that they are correct.¬† A few days later, I noticed that the following statement in Item 10 of¬†numerous brochures filed by investment advisers: All material conflicts…

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