News & Analysis as of

Cash Solicitation Rule Marketing

Davis Wright Tremaine LLP

The (New) Marketing Rule: Perspectives on RIA Compliance, One Year Later

As we move further away from the one-year anniversary of the compliance date for the SEC's new Marketing Rule 206(4)(1) under the Investment Advisers Act of 1940 (the "Marketing Rule"), Registered Investment Advisers ("RIAs")...more

ArentFox Schiff

SEC Adopts New Marketing Rule for Investment Advisors

ArentFox Schiff on

On December 22, 2020, the US Securities and Exchange Commission (SEC) adapted the rules that govern investment advisor advertisements and payments to solicitors. The amendments consolidated the previous advertising and cash...more

Dechert LLP

Advisers Act Marketing Rule Compliance Deadline Fast Approaching: Key Preparations and Considerations for Compliance

Dechert LLP on

The November 4, 2022, deadline for advisers to implement amended Rule 206(4)-1 (Marketing Rule) and related rules under the Investment Advisers Act of 1940 is fast approaching. Advisers required to comply with the rule are...more

Proskauer Rose LLP

Q&A: The Bottom Line of Complying with the SEC’s New Marketing Rule

Proskauer Rose LLP on

In the late fall of 2020, the SEC implemented rule amendments which created a single rule, the Marketing Rule, that replaces the current Advertising and Cash Solicitation Rules. The Marketing Rule represents both significant...more

King & Spalding

SEC Investment Adviser Marketing Rule: Compliance Date is Nov. 4, 2022

King & Spalding on

In late 2020, the SEC adopted1 rule amendments that require SECregistered investment advisers to, by November 4, 2022, switch their compliance regimes from the SEC’s current Advertising and Cash Solicitation Rules (Rules...more

Foley Hoag LLP

SEC Adopts New Marketing Rule for Investment Advisers

Foley Hoag LLP on

On December 22, 2020, the U.S. Securities and Exchange Commission (“SEC”) adopted amendments under the Investment Advisers Act of 1940 modernizing the rules governing investment adviser marketing. The amendments replace and...more

Kilpatrick

Investment Advisers, Mark Your Calendars: Effective Date Set for SEC's New Marketing Rule

Kilpatrick on

The SEC’s new marketing rule for investment advisers (the “New Marketing Rule”) was published in the Federal Register today, making the effective date of the New Marketing Rule May 4, 2021....more

Locke Lord LLP

SEC Adopts New Marketing Rule, Replacing Advertising and Cash Solicitation Rules

Locke Lord LLP on

On December 22, 2020, the SEC finalized rules governing investment adviser marketing and payments to solicitors under the Investment Advisors Act of 1940, as amended. The reforms create a single rule to replace the current...more

Faegre Drinker Biddle & Reath LLP

SEC Adopts New Marketing Rule for Investment Advisers

On December 22, 2020, the U.S. Securities and Exchange Commission (SEC or Commission) adopted amendments to the rules that govern investment adviser advertisements and compensation to solicitors under the Investment Advisers...more

Lowenstein Sandler LLP

SEC Modernizes Investment Adviser And Solicitor Marketing Rules

Lowenstein Sandler LLP on

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

Morrison & Foerster LLP

Investment Adviser Compliance Index - 2019

The Investment Advisers Act of 1940 (the “Advisers Act”) is the shortest of the federal securities laws enacted after the Great Depression, and the SEC has adopted relatively few regulations under the Advisers Act. As any...more

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