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Solicitation Marketing

Proskauer - The Capital Commitment

Complying with the New SEC Marketing Rule: Seven Months in and Still Adapting

On November 4, 2022, compliance with amended Rule 206(4)-1 (the “Marketing Rule”) became mandatory for all investment advisers registered with the Securities and Exchange Commission (the “SEC”). Seven months since the...more

Foley Hoag LLP

Massachusetts Issues Marketing Rule Reminder

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On November 4, 2022, the U.S. Securities and Exchange Commission (the “SEC”) began enforcing its updated advertising requirements for federally registered advisers. Those rules, described in greater detail here, represented a...more

Proskauer Rose LLP

Q&A: The Bottom Line of Complying with the SEC’s New Marketing Rule

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In the late fall of 2020, the SEC implemented rule amendments which created a single rule, the Marketing Rule, that replaces the current Advertising and Cash Solicitation Rules. The Marketing Rule represents both significant...more

Lerman Senter PLLC

Oklahoma Passes New Telephone Solicitation Act Similar to the Federal TCPA

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The recently-signed Oklahoma Telephone Solicitation Act of 2022 (OTSA) will become effective November 1, 2022. The OTSA, like the federal Telephone Consumer Protection Act (TCPA), and the Florida Telephone Solicitation Act...more

Proskauer Rose LLP

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

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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

Lowenstein Sandler LLP

SEC Modernizes Investment Adviser And Solicitor Marketing Rules

Lowenstein Sandler LLP on

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

Troutman Pepper

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

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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

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

Maynard Nexsen

Ethics and Advertising: A compilation of North Carolina rules and opinions

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This paper is a compilation of the North Carolina State Bar rules and opinions on ethics and advertising. As with all other areas governed by the North Carolina State Bar, rules change and additional opinions are...more

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