On December 22, 2020, the U.S. Securities and Exchange Commission (SEC) announced a modernized rule (the New Marketing Rule) governing (i) investment adviser advertisements and (ii) payments to solicitors. Under the...more
1/22/2021
/ Advertising ,
Advisors Act ,
Books & Records ,
Cash Solicitation Rule ,
Endorsements ,
False Statements ,
Federal Register ,
Investment Adviser ,
Marketing ,
Securities and Exchange Commission (SEC) ,
Solicitation ,
Third-Party ,
Written Agreements