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ARTICLE · 18 MAY 2011
Financial Services Alert – May 17, 2001
Goodwin Procter LLP
The SEC issued a rule proposal that would amend Rule 205-3 under the Investment Advisers Act of 1940, which permits a registered adviser to charge a performance-based advisory fee, i.e., one based on a share of capital gains on, or capital appreciation of, a client’s account.
United StatesFinance and Banking
