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Cash Solicitation Rule SEC Advertising Rule

Proskauer Rose LLP

SEC Revises Marketing Rule for Registered Investment Advisers

Proskauer Rose LLP on

On December 22, 2020, the Securities and Exchange Commission (“SEC”) adopted amendments to existing Rule 206(4)-1 (the “Advertising Rule”) and rescinded Rule 206(4)-3 (the “Cash Solicitation Rule”) under the Investment...more

Goodwin

SEC Finalizes Reforms Under Investment Advisers Act

Goodwin on

In this Issue. The Securities and Exchange Commission (SEC) finalized reforms under the Investment Advisers Act to modernize rules that govern investment adviser advertisements and payments to solicitors, and published a risk...more

Eversheds Sutherland (US) LLP

Videocast: Asset management regulation in 2020 videocast series – Private fund regulatory developments

Hear how proposed changes to the Advertising Rule and the Solicitation Rule under the Investment Advisers Act could affect private funds and their sponsors. In this Bottom Line videocast, Michael Koffler and Michael Voynich...more

Dechert LLP

SEC Proposes Amendments to the Advertising and Solicitation Rules

Dechert LLP on

The U.S. Securities and Exchange Commission has proposed amendments to Rule 206(4)-1 – Advertisements by Investment Advisers (Current Advertising Rule) and Rule 206(4)-3 – Cash Payments for Client Solicitations (Current...more

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