News & Analysis as of

Solicitation Investment Advisers Act of 1940

Troutman Pepper

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

Troutman Pepper on

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

Proskauer Rose LLP

Publication of Sweeping Changes to SEC Marketing Rule Sets Effective and Compliance Dates

Proskauer Rose LLP on

On March 5, 2021, the SEC release adopting broad changes to rule 206(4)-1 under the U.S. Investment Advisers Act of 1940 was published in the federal register...more

Troutman Pepper

The SEC’s New Investment Adviser Marketing Rule: Merging and Modernizing Advertising and Solicitation Regulation

Troutman Pepper on

Just before we said goodbye to 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended (Advisers Act). The SEC...more

Kramer Levin Naftalis & Frankel LLP

SEC Adopts New Marketing Rule

The Securities and Exchange Commission (SEC) announced on Dec. 22, 2020, that it has finalized amendments to the current advertising rule (Rule 206(4)-1) and cash solicitation rule (Rule 206(4)-3) under the Investment...more

Locke Lord LLP

SEC Proposes New Rules to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers, and the SEC Staff...

Locke Lord LLP on

The US Securities and Exchange Commission (SEC) has proposed to amend and modernize certain rules under the Investment Advisers Act that deal with investment adviser advertising and payments to solicitors. The proposed...more

Morgan Lewis

In Focus: Analysis of SEC Proposals to Modernize Advertising and Solicitation Rules

Morgan Lewis on

On November 4, 2019, the US Securities and Exchange Commission (SEC) proposed amendments to Rule 206(4)-1 (the Advertising Rule) and Rule 206(4)-3 (the Solicitation Rule) under the Investment Advisers Act of 1940. The...more

Cadwalader, Wickersham & Taft LLP

SEC Proposes Significant Amendments to Investment Adviser Solicitation Rule

The Securities and Exchange Commission (the “Commission” or the ”SEC”), on November 4, approved the publication of a substantial release (the “Release”) proposing significant amendments to the rules under the Investment...more

Faegre Drinker Biddle & Reath LLP

SEC Proposes Wide-Ranging Changes to Investment Adviser Marketing Rules

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

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

Morrison & Foerster LLP

SEC Proposes to Update Longstanding Investment Adviser Advertising and Solicitation Rules

Morrison & Foerster LLP on

On November 4, 2019, the Securities and Exchange Commission (SEC) proposed amendments to both the advertising rule and the cash solicitation rule under the Investment Advisers Act of 1940 (the “Advisers Act”). Neither rule —...more

10 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide