Law AML Handout Final_Page_1
Law AML Handout Final_Page_1

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Law AML Handout Final_Page_8

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Lawvisory Cares Act 2020_Page_1
Lawvisory Cares Act 2020_Page_1

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Overview of Investment Advisers Act of 1940: 

Section 204A (Code of Ethics Rule)

Section 206

Rule 206(4)-7 (Compliance Rule)

Other Rules under Section 206:

Advertising Rule: Rule 206(4)-1

Custody Rule: Rule 206(4)-2

Solicitation Rule: Rule 206(4)-3

Pay to Play Rule: Rule 206(4)-5

Proxy Voting Rule: Rule 206(4)-6