skip to main content


SEC Provides Guidance on Amended Custody Rules

April 15, 2010

Last month the Securities and Exchange Commission (“SEC”) published a series of staff responses to clarify issues regarding Rule 206(4)-2 under the Investment Advisers Act of 1940 (the “Custody Rule”).  These staff responses clarify questions raised from the adopting release to the 2009 Custody Rule amendments and supersede responses related to the Custody Rule that were issued by the SEC in 2003.  To view a detailed summary of the most recent guidance, please click here.

Related File(s)

© Shipman & Goodwin LLP, 2019. All Rights Reserved.