“Going Public” is More than a Memoir by an SEC Staffer — Which is Unfortunate


There is more to the securities laws and their administration by the SEC than just the ’33 and ’34 Acts.  The Investment Company Act of 1940 focuses on disclosures by mutual funds and similar entities; and the Investment Advisers Act of 1940 requires registration of certain investment advisers, and subjects them to inspection by the…
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