Topics:

New Rules, Proposed Rules and Guidance

• OCIE Publishes Risk Alert Regarding the Use of Social Media by Investment Advisers
• SEC Adopts New Net Worth Standard for Accredited Investors

Enforcement Actions

• SEC Charges UBS Global Asset Management with Pricing Violations
• SEC Files Complaint Against Former Evergreen Portfolio Manager
• SEC Settles Charges Against Morgan Stanley Investment Management for Improper Subadvisory Fee Arrangement

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