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Social Networks Investment Advisers Act of 1940

Goodwin

SEC Sends Additional Message to Registered Investment Advisers on Marketing Rule Obligations Through Enforcement Actions

Goodwin on

On September 9, 2024, approximately one year since its first flurry of similar Marketing Rule actions, the Securities and Exchange Commission (the SEC) announced settlements with nine SEC-registered investment advisers (the...more

Wilson Sonsini Goodrich & Rosati

Regulatory Considerations for Artificial Intelligence Programs Providing Advice to Individually Managed Accounts

Artificial intelligence (AI) is expected to revolutionize many areas of modern life, including the investment management industry. AI applications currently are being used to develop management programs for investment funds,...more

Carlton Fields

SEC “Likes” Social Media for Investment Advisers

Carlton Fields on

The SEC staff views social media as a useful tool that helps consumers conduct their own due diligence on investment advisers. In a recent Investment Management Guidance Update, the staff stated that, under certain...more

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