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
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Advisors Act ,
Books & Records ,
Cash Solicitation Rule ,
Endorsements ,
False Statements ,
Federal Register ,
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Marketing ,
Securities and Exchange Commission (SEC) ,
Solicitation ,
Third-Party ,
Written Agreements
On August 26, 2020, the Securities and Exchange Commission (SEC) adopted amendments (the Amendment) to the “accredited investor” definition to broaden the category of potential investors in private offerings of securities...more