Bar Exam Toolbox Podcast Episode 225: Listen and Learn -- Authentication of Evidence
Law School Toolbox Podcast Episode 301: Listen and Learn -- The Confrontation Clause
Bar Exam Toolbox Podcast Episode 137: Listen and Learn -- The Confrontation Clause
Podcast - Listen for the Song in Your Witness' Head
Podcast: Witness Preparation is Okay
Podcast - Rule 6: If You Don't Remember, Say So
Devil in the Details: Gilbert King on Truth and Transparency in the Judicial Process
Podcast - Rule 1: Witness, Take Your Time
The SEC’s new Marketing Rule compliance date was November 4, 2022. As part of the Marketing Rule, the SEC expanded advisers’ ability to use client testimonials in marketing materials. ...more
The transition period for recently adopted changes intended to modernize rules that govern investment adviser advertisements and compensation of solicitors has expired (effective November 4, 2022). The new rules revise and...more
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
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
The November 4, 2022, deadline for advisers to implement amended Rule 206(4)-1 (Marketing Rule) and related rules under the Investment Advisers Act of 1940 is fast approaching. Advisers required to comply with the rule are...more
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
Toward the end of December 2020, the U.S. Securities and Exchange Commission (SEC) announced the release of a new comprehensive marketing rule. The original advertising rule had not been substantively amended or updated since...more
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
On December 22, 2020, the U.S. Securities and Exchange Commission adopted rule and form amendments to modernize the regulatory framework governing investment adviser advertising and payments to solicitors....more
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
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
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
The staff of the Division of Investment Management (Staff) of the Securities and Exchange Commission (SEC) has issued an IM Guidance Update (Guidance Update) on the use of social media in investment adviser advertising. The...more