SEC Marketing Rule Changes Increase Flexibility For Advisers

By Gregory Rowland, Nora Jordan, Sarah Kim and Aaron Gilbride (November 12, 2019, 3:44 PM EST) -- In a Nov. 4 release, the U.S. Securities and Exchange Commission proposed amendments to modernize the advertising and cash solicitation rules for registered investment advisers under the Investment Advisers Act of 1940.[1] The proposed amendments relate primarily to Rule 206(4)-1, or the advertising rule, and Rule 206(4)-3, the solicitation rule, which have remained largely unchanged since their adoptions decades ago....

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