Tag Archives: Solicitation Rule – RIA

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)

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

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)