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Investment Adviser Cash Solicitation Rule

ArentFox Schiff

SEC Adopts New Marketing Rule for Investment Advisors

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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

Troutman Pepper

The SEC's New Marketing Rule - Practically Speaking: Testimonials and Endorsements

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In December 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended. Those finalized amendments merged the...more

Jones Day

SEC Highlights Compliance With New Advertising Rule

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The Securities and Exchange Commission ("SEC") recently reminded SEC registered investment advisers of the upcoming compliance date (November 4, 2022) for the revised investment adviser advertising rule, and provided a list...more

Kilpatrick

Marketing Rule Compliance Date Nears: RIAs Should Update Referral Agreements

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November 4, 2022, the compliance date for the Securities and Exchange Commission’s (the “SEC”) new marketing rule (Rule 206(4)-1 under the Advisers Act) (the “Marketing Rule”), is quickly approaching. Have you reviewed your...more

King & Spalding

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

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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

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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

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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

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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

Perkins Coie

SEC Overhauls Registered Investment Adviser Marketing Rules

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The U.S. Securities and Exchange Commission (SEC or the Commission) on December 22, 2020, amended the main advertising rule under the Investment Advisers Act of 1940 (the Advisers Act) as part of a rulemaking package...more

Lowenstein Sandler LLP

SEC Modernizes Investment Adviser And Solicitor Marketing Rules

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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

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

Foley & Lardner LLP

SEC Adopts Modernized Marketing Rule for Investment Advisers

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On December 22, 2020, the Securities and Exchange Commission announced it had finalized reforms under the Investment Advisers Act to modernize rules that govern investment adviser advertisements and payments to solicitors....more

Faegre Drinker Biddle & Reath LLP

Two Stones, One Bird: SEC’s Double Whammy Against Advisory Firm

In a pair of settlements announced on July 28, 2020, the SEC charged VALIC Financial Advisors (the “Firm”) with two separate sets of violations that allowed the Firm to obtain millions of dollars in fees without providing...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

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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

Akin Gump Strauss Hauer & Feld LLP

[Podcast] AG Funds Minutes: SEC Proposes to Modernize Advertising and Cash Solicitation Rules

In this episode, Akin Gump investment management partners Barbara Niederkofler and Jason Daniel discuss the Security and Exchange Commission’s proposed modernization of the advertising and cash solicitation rules under the...more

Katten Muchin Rosenman LLP

SEC Proposes Principles-Based Changes to Investment Adviser Advertising and Solicitation Rules, Seeks Industry Reaction by...

Key Points - SEC proposes significant changes to the Advisers Act “Advertising Rule” and “Cash Solicitation” Rule. - The proposed definition of “Advertisements” expands the types of communications that are considered...more

Fox Rothschild LLP

SEC’s Advertising Changes For Investment Advisers

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Last month, the Securities and Exchange Commission (SEC) issued a press release describing its proposed changes to the Investment Advisers Act of 1940. The Act contains various advertising and cash solicitation rules for...more

Proskauer Rose LLP

SEC Releases Proposal to Revise the Advertising and Cash Solicitation Rules for Investment Advisers

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On November 4, 2019, the U.S. Securities and Exchange Commission (the "SEC") issued a release proposing to revise the rules pertaining to investment adviser advertisements and payments to solicitors under the Investment...more

Vedder Price

SEC Proposes Modernizing Adviser Advertising and Cash Solicitation Rules

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On November 4, 2019, the U.S. Securities and Exchange Commission (SEC) proposed significant amendments to the rules under the Investment Advisers Act of 1940 (Advisers Act) governing investment adviser advertisements and...more

White & Case LLP

SEC Proposes to Modernize Advertising and Solicitation Rules for Investment Advisers

White & Case LLP on

On November 4, 2019, the Securities and Exchange Commission (“SEC”) issued a proposal to modernize the rules under the Investment Advisers Act of 1940 (“Advisers Act”) addressing SEC-registered investment adviser...more

Dorsey & Whitney LLP

SEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers

Dorsey & Whitney LLP on

On November 4, 2019, the Securities and Exchange Commission (“SEC”) voted to propose amendments to modernize Rule 206(4)-1, addressing investment adviser advertisements, and Rule 206(4)-3, addressing payments to solicitors,...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

WilmerHale

OCIE Risk Alert on Cash Solicitation Rule

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On October 31, 2018, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) released a new Risk Alert regarding compliance deficiencies observed in connection with Rule...more

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