On December 22, 2020, the U.S. Securities and Exchange Commission (SEC) announced a modernized rule (the New Marketing Rule) governing (i) investment adviser advertisements and (ii) payments to solicitors. Under the...more
1/22/2021
/ Advertising ,
Advisors Act ,
Books & Records ,
Cash Solicitation Rule ,
Endorsements ,
False Statements ,
Federal Register ,
Investment Adviser ,
Marketing ,
Securities and Exchange Commission (SEC) ,
Solicitation ,
Third-Party ,
Written Agreements
What You Need To Know:
•The SEC proposes to exempt two types of Finders from broker-dealer registration pursuant if they satisfy certain conditions.
•Tier I Finders may provide potential investors’ contact information to...more
10/20/2020
/ Broker-Dealer ,
Capital Investments ,
Disclosure ,
Exemptions ,
Finders ,
Hedge Funds ,
Investors ,
Private Equity Funds ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Third Party Funding ,
Unregistered Brokers ,
Venture Capital ,
Written Agreements