Tag Archives: Solicitor

OCIE Issues Guidance on Cash Solicitation Rule for RIAs

The Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) has issued a Risk Alert to provide investment advisers with information concerning the most common deficiencies the staff has cited relating to Rule 206(4)-3 (“Cash Solicitation Rule”) under the Investment Advisers Act of 1940 (“Advisers Act”).  The Risk Alert includes observations by … Continue reading OCIE Issues Guidance on Cash Solicitation Rule for RIAs