Private Equity Takeaways From SEC Marketing Rule Changes

Law360 (February 10, 2020, 5:43 PM EST) -- On Nov. 4, 2019, the U.S. Securities and Exchange Commission proposed amendments to Rule 206(4)-1, known as the Advertising Rule under the Investment Advisers Act of 1940. In developing the proposal, staff in the SEC’s Division of Investment Management reviewed the extensive no-action letters and other guidance addressing the application of the Advertising Rule and proposed material changes. 

The proposed rule would impact the marketing efforts of private equity managers in a significant manner. While many of the changes reflected in the proposed rule would be welcomed by the private equity industry, the proposed rule contains other provisions that may cause...

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