New RIA Marketing Rule Impacts Solicitor Relationships
As noted in our earlier articles, the reforms made to the Investment Advisers Act of 1940 (“Act”) that were adopted by the Securities and Exchange Commission (“SEC”) to modernize rules that govern investment adviser adverting, also impacted testimonials, endorsements, and integrated solicitor activities into that rule (collectively the “Rule”). This article focuses specifically on the … Continue reading New RIA Marketing Rule Impacts Solicitor Relationships