Taylor Bandy

Taylor Bandy

Bressler, Amery & Ross, P.C.

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The SEC Adopts a Modernized Marketing Rule and the Testimonial Prohibition is No Longer

On December 22, 2020, the Securities and Exchange Commission (SEC) released an amended, “modernized” Rule 206(4)-1 of the Investment Adviser’s Act of 1940 (the “Marketing Rule”) citing advancements in technology, changes in...more

12/31/2020  /  Financial Regulatory Reform , Investment Adviser , Investment Advisers Act of 1940 , Marketing , Securities and Exchange Commission (SEC) , Securities Regulation , Testimonial Statements
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