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Seward & Kissel LLP

SEC Charges Robo-Adviser with Marketing Rule Violations

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Who may be interested: Registered Investment Companies; Investment Advisers - Quick Take: The SEC recently settled charges against a registered investment adviser for violating the requirements of Rule 206(4)-1 of the...more

Lowenstein Sandler LLP

SEC Settles Against Nine Investment Advisers for Marketing Rule Violations, Underscoring the Continued Priority of Marketing Rule...

Lowenstein Sandler LLP on

On September 9, the U.S. Securities and Exchange Commission (SEC) announced another series of settlements with registered investment advisers for violations of Rule 206(4)-1, as amended (Marketing Rule), under the Investment...more

Pierce Atwood LLP

Avoid Litigation in Multiple Forums - Check the Additional Insured Endorsement

Pierce Atwood LLP on

While lawyers often advise owner and contractor clients to obtain the additional insured endorsements, the certificate of insurance (COI) remains the most common form of proof provided on many construction projects. But the...more

Sterne, Kessler, Goldstein & Fox P.L.L.C.

MarkIt to Market® - September 2023

Sterne, Kessler, Goldstein & Fox P.L.L.C. on

Thank you for reading the September 2023 issue of Sterne Kessler's MarkIt to Market® newsletter. This month, we discuss the significant revisions to the FTC's guidelines for endorsements and examine the benefits of design...more

Foley & Lardner LLP

The SEC Renews its Emphasis on Compliance with the New Marketing Rule

Foley & Lardner LLP on

On June 8, 2023, the Securities and Exchange Commission’s (“SEC”) Division of Examinations (“Division”) released a risk alert (the “Risk Alert”) outlining the SEC’s broadened examination priorities with respect to revised...more

Goodwin

Practical Guide to the Application of the Marketing Rule to Private Fund Placement Agents

Goodwin on

This article focuses on how the new Rule 206(4)-1 (the “Marketing Rule”) under the Investment Advisers Act of 1940 (the “Advisers Act”) affects the relationships between investment advisers registered with the U.S. Securities...more

Tonkon Torp LLP

SEC Publishes Revised Investment Adviser Marketing Rule, Effective May 4, 2021

Tonkon Torp LLP on

At long last, the SEC has finally published its Revised Investment Adviser Marketing Rule. effective as of May 4, 2021. Investment advisers will have 18 months following the effective date, or until November 4, 2022, to come...more

Faegre Drinker Biddle & Reath LLP

SEC Proposes Wide-Ranging Changes to Investment Adviser Marketing Rules

Faegre Drinker Biddle & Reath LLP on

On November 4, 2019, the Securities and Exchange Commission (SEC) released a proposed rule amendment (the Marketing Amendment) that would substantially modify SEC Rules 206(4)-1 (the Advertising Rule) and 206(4)-3 (the...more

Franczek P.C.

NCAA: Student Athletes May be Paid for Names, Images, and Likenesses

Franczek P.C. on

On Tuesday, the Board of Governors of the NCAA unanimously voted to reverse its longstanding policy by permitting students participating in athletics to benefit from the use of their names, images, and likenesses in licensing...more

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