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Marketing Recordkeeping Requirements

SEC Compliance Consultants, Inc. (SEC³)

Regulatory Roundup for August 2024

More Flack on WhatsApp, Hypothetical Performance SmackDown, A Timely Warning on the Pay-to-Play Rule, and Updates to Qualifying Venture Capital Fund Exemption - This month's big news from the SEC was more piggy-bank breaking...more

Morrison & Foerster LLP

Significant Investment Adviser Regulatory Developments in 2024

Alongside the rapid pace of Securities and Exchange Commission (SEC) rulemaking, the SEC and its Staff continue to shape regulatory obligations for investment advisers in 2024 through guidance, alerts, enforcement actions,...more

Latham & Watkins LLP

Latham Texas Private Funds Breakfast Series SEC Updated Rules

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This spring Latham & Watkins lawyers provided guidance on the US Securities and Exchange Commission’s (SEC’s) new rules for private fund advisers at the firm’s inaugural Texas Private Funds Breakfast Series in Houston....more

Davis Wright Tremaine LLP

The (New) Marketing Rule: Perspectives on RIA Compliance, One Year Later

As we move further away from the one-year anniversary of the compliance date for the SEC's new Marketing Rule 206(4)(1) under the Investment Advisers Act of 1940 (the "Marketing Rule"), Registered Investment Advisers ("RIAs")...more

ArentFox Schiff

DOL Announces New Final Rule To Distinguish Between Employees and Independent Contractors

ArentFox Schiff on

This week, the US Department of Labor (DOL) issued a final rule — Federal Register: Employee or Independent Contractor Classification Under the Fair Labor Standards Act — that provides new guidance on how to distinguish...more

Morrison & Foerster LLP

Private Fund Advisers: Presenting Track Record and Other Performance Information Under the Marketing Rule

Private fund advisers that are registered with the Securities and Exchange Commission (SEC) under the Investment Advisers Act of 1940 (the “Advisers Act”) are subject to certain rules governing their use of investment track...more

Hanzo

Why Marketing Compliance for Financial Services Is A Big Deal

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In today's fiercely competitive business landscape, financial services companies, like their counterparts in other industries, rely on advertising and digital marketing strategies to create brand recognition, promote their...more

Davis Wright Tremaine LLP

The Recipe for a Strong Bank-Fintech Partnership Agreement

Bank partnerships are a critical component of the U.S. fintech ecosystem and infrastructure. The agreements that govern bank-fintech partnerships are nevertheless frequently overlooked simply as a legal formality—a...more

Faegre Drinker Biddle & Reath LLP

UK’s Updated Data Protection Reform Proposals

The UK government recently introduced a new Data Protection and Digital Information (No. 2) Bill (the “New Bill”). The reforms are intended to update and simplify the UK’s data protection framework and reduce burdens on...more

Venable LLP

The FTC's Proposed "Rule Concerning Recurring Subscriptions and Negative Options": Improving Regulations or Interfering with...

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Payment service providers should take note of an expansive new rule proposed by the Federal Trade Commission (FTC) intended to protect consumer shoppers of goods and services sold on a subscription basis. For merchants...more

Venable LLP

Click to Cancel: FTC Proposes New Rule Regulating Subscription Services and Negative Option Programs with Broad Implications

Venable LLP on

Last week, the Federal Trade Commission announced that its proposed rule replacing its Prenotification Negative Option Rule would result in new, expansive requirements for all forms of negative option offers, including...more

Goodwin

FINRA Provides Update on Social Media Influencers, Customer Acquisition and Related Information Protection

Goodwin on

In February, FINRA provided an update (Update) concerning the targeted exam (Sweep) launched in September 2021 to review firms’ practices concerning customer acquisition through social media channels and the way firms share...more

Hanzo

Hanzo Top 20 Ediscovery & Compliance Blogs of 2022, Part 2

Hanzo on

It’s been another interesting year in the world of legal technology, and we here at Hanzo have covered a variety of topics in 2022. Last week, we covered the first 10 of our top 20 ediscovery and compliance blogs. Today we...more

Holland & Hart LLP

New Investment Adviser Marketing Rule Now in Effect

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The transition period for recently adopted changes intended to modernize rules that govern investment adviser advertisements and compensation of solicitors has expired (effective November 4, 2022). The new rules revise and...more

Dechert LLP

Advisers Act Marketing Rule Compliance Deadline Fast Approaching: Key Preparations and Considerations for Compliance

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The November 4, 2022, deadline for advisers to implement amended Rule 206(4)-1 (Marketing Rule) and related rules under the Investment Advisers Act of 1940 is fast approaching. Advisers required to comply with the rule are...more

Seward & Kissel LLP

New Marketing Rule: One Month Away from the Compliance Date

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On December 20, 2020, the Securities and Exchange Commission (the “SEC”) adopted reforms under the Investment Advisers Act of 1940, which modernized rules that govern investment adviser advertising and payments to solicitors....more

Proskauer Rose LLP

SEC Issues Risk Alert Announcing Exams Focused on New Marketing Rule

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On Monday, September 19, 2022, the SEC’s Division of Examinations issued a Risk Alert announcing their intent to conduct targeted reviews of registered investment advisers regarding compliance with amended Advisers Act Rule...more

Wiley Rein LLP

New FCC Equipment Marketing Rules Allow Pre-Sale of Radio Frequency Devices to Consumers

Wiley Rein LLP on

On April 12, 2022, new rules adopted by the Federal Communications Commission (FCC or Commission) took effect that will expand innovators’ ability to market, import, and pre-sell radio frequency (RF) devices that are still...more

King & Spalding

SEC Investment Adviser Marketing Rule: Compliance Date is Nov. 4, 2022

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In late 2020, the SEC adopted1 rule amendments that require SECregistered investment advisers to, by November 4, 2022, switch their compliance regimes from the SEC’s current Advertising and Cash Solicitation Rules (Rules...more

Miller Canfield

New Investment Adviser Marketing Rules Take Effect May 4, 2021

Miller Canfield on

On December 22, 2020, the SEC adopted amended Rule 206(4)-1 under the Investment Advisers Act of 1940, updating the rules governing investment adviser marketing ("Marketing Rules"). The new Rule replaces the currently...more

Epstein Becker & Green

FDA PDMA Guidance in Response to COVID-19 Pandemic

Epstein Becker & Green on

The FDA has issued the Temporary Policy on Prescription Drug Marketing Act Requirements for Distribution of Drug Samples During the COVID-19 Public Health Emergency.  The Prescription Drug Marketing Act of 1987 (PDMA)...more

Faegre Drinker Biddle & Reath LLP

SEC Proposes Wide-Ranging Changes to Investment Adviser Marketing Rules

On November 4, 2019, the Securities and Exchange Commission (SEC) released a proposed rule amendment (the Marketing Amendment) that would substantially modify SEC Rules 206(4)-1 (the Advertising Rule) and 206(4)-3 (the...more

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