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) →

SEC Proposes Amendment to Investment Advisers Act to Address FAST Act

August 17, 2017Legal AlertsAdvisers Act, Fast Act, Investment AdviserDaniel LeGaye

The Securities and Exchange Commission ( “SEC”) is proposing to amend the definition of a venture capital fund (rule 203(l)-1) and the private fund adviser exemption (rule 203(m)-1) under the Investment Advisers Act of 1940 (the “Advisers Act”) in order to reflect changes made by title LXXIV, sections 74001 and 74002 of the Fixing America’s Surface Transportation … Continue reading SEC Proposes Amendment to Investment Advisers Act to Address FAST Act →