Tag Archives: SEC Rule 206(4)-3

Revisions to Cash Solicitation Rule Proposed for Investment Advisers (Part 3 of 3)

As noted previously, the Securities and Exchange Commission (“SEC”) announced that it is releasing proposed amendments to the advertising and cash solicitation rules that currently provide for the regulatory framework impacting investment advisers on these issues.  In this review, we are focusing on the proposed amendments to the cash solicitation rule under the Investment Advisers … Continue reading Revisions to Cash Solicitation Rule Proposed for Investment Advisers (Part 3 of 3)