Dylan Platt

Dylan Platt

Mayer Brown

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Past Guidance is No Assurance of Future Guidance: SEC Staff Reverses Course with New Marketing Rule FAQs on Extracted Performance...

AT A GLANCE - On March 19, the SEC released updated guidance for compliance with Rule 206(4)-1 under the Investment Advisers Act of 1940, with two major revisions: (i) an update to prior guidance regarding the use of...more

3/26/2025  /  Compliance , Disclosure Requirements , Investment Adviser , Investment Management , Regulatory Requirements , Securities and Exchange Commission (SEC) , Securities Regulation
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