Tag Archives: Advertising Rule -RIA

New RIA Marketing Rule Impacts Solicitor Relationships

March 23, 2021Legal AlertsAdvertising Rule -RIA, SEC, SolicitorDaniel LeGaye

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 →

Updated Cash Solicitation and Advertising Rules Proposed for Investment Advisers (Part 2 of 3)

December 5, 2019Legal AlertsAdvertising Rule -RIA, Advisers ActDaniel LeGaye

As noted previously, the Securities and Exchange Commission (“SEC”) has announced that it is releasing proposed amendments to the cash solicitation and advertising rules that impact investment advisers. In this discussion, we are focusing on the proposed amendments to the advertising rules under the Investment Advisers Act of 1940 (the “Act”). The advertising rule has … Continue reading Updated Cash Solicitation and Advertising Rules Proposed for Investment Advisers (Part 2 of 3) →

Updated Advertising and Cash Solicitation Rules Proposed for Investment Advisers (Part 1 of 3)

November 26, 2019Legal AlertsAdvertising Rule -RIA, Investment Adviser, Solicitation Rule - RIADaniel LeGaye

The Securities and Exchange Commission (“SEC”) has announced that it is releasing proposed amendments to the advertising and cash solicitation rules impacting investment advisers. The proposed amendments are to the rules that prohibit certain investment adviser advertisements and payments to solicitors, respectively, under the Investment Advisers Act of 1940 (the “Act”). Neither rule has been … Continue reading Updated Advertising and Cash Solicitation Rules Proposed for Investment Advisers (Part 1 of 3) →