Advisers Act s.204A

Requires advisers to keep written policies that prevent misuse of material non-public information. 25 records cite it, filed 2013 to 2024.

United States · Investment Advisers Act of 1940 · 15 U.S.C. 80b-4a

Official text: 15 U.S.C. 80b-4a (LII)

Counts

Most recent matched records

• SEC v. Silver Point Capital, L.P. (2024) (2024-12-20)
• SEC v. Marathon Asset Management, LP (2024) (2024-09-30)
• SEC v. Sound Point Capital Management LLP (2024) (2024-08-26)
• SEC v. FlowPoint Partners, LLC and Peter J. DeCaprio (2024) (2024-08-21)
• SEC v. Senvest Management, LLC (2024) (2024-04-03)
• SEC v. Mortgage Industry Advisory Corporation (2023) (2023-09-11)
• SEC v. MIO Partners, Inc. (2021) (2021-11-19)
• SEC v. Jack Brewer (insider trading, 2020) (2020-08-06)
• SEC v. Ares Management LLC (2020) (2020-05-26)
• SEC v. Cannell Capital, LLC (2020) (2020-02-04)
• SEC v. Christopher Plaford (insider trading, 2019) (2019-07-29)
• SEC v. Fifth Street Management, LLC (2018) (2018-12-03)
• SEC v. Visium Asset Management, LP (insider trading, 2018) (2018-05-08)
• SEC v. Deerfield Management Company, L.P. (2017) (2017-08-21)
• SEC v. Artis Capital Management, L.P. and Michael W. Harden (insider trading, 2016) (2016-10-13)