Financial Markets and Funds Quick Take | Issue 7

Daniel Davis, Gary DeWaal, Omar Malek, Richard Marshall, Stephen Morris, Catherine O'Brien, Neil Robson, Michael Rosella, Rachel Schaub, Trisha Sircar, Edward Tran, Oliver Williams, Lance Zinman
Katten Muchin Rosenman LLP
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SEC to Inspect Firms for Compliance With New Advertising and Solicitation Rule -

November 4 is the compliance date for the new rule governing advertising and solicitation activities by investment advisers. The new rule substantially revises decades old authorities governing this activity.

Please see full publication below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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