Michael Singh

Michael Singh

Proskauer Rose LLP

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Complying with the New SEC Marketing Rule: Seven Months in and Still Adapting

On November 4, 2022, compliance with amended Rule 206(4)-1 (the “Marketing Rule”) became mandatory for all investment advisers registered with the Securities and Exchange Commission (the “SEC”). Seven months since the...more

6/7/2023  /  Advertising , Advertising Substantiation , Compliance , Fees , Investment Adviser , Marketing , Securities and Exchange Commission (SEC) , Solicitation
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