Theodore Edwards

Theodore Edwards

Troutman Pepper

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Troutman Pepper's "Practically Speaking" Series Regarding the SEC's New Marketing Rule

In December 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended....more

11/1/2022  /  Advertising , Investment Adviser , Investment Advisers Act of 1940 , Marketing , New Rules , Registered Investment Advisors , Securities and Exchange Commission (SEC)

The SEC's New Marketing Rule - Practically Speaking: General Prohibitions

In December 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended. Those finalized amendments merged the...more

11/1/2022  /  Advertising , Amended Rules , Investment Adviser , Investment Advisers Act of 1940 , Marketing , New Rules , Registered Investment Advisors , Securities and Exchange Commission (SEC)

The SEC's New Marketing Rule - Practically Speaking: Hypothetical Performance

In December 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended. Those finalized amendments merged the...more

11/1/2022  /  Advertising , Amended Rules , Investment Adviser , Investment Advisers Act of 1940 , Marketing , New Rules , Registered Investment Advisors , Securities and Exchange Commission (SEC)

The SEC's New Marketing Rule - Practically Speaking: Performance Advertising/Track Records

In December 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended. Those finalized amendments merged the...more

11/1/2022  /  Advertising , Amended Rules , Investment Adviser , Investment Advisers Act of 1940 , Marketing , New Rules , Registered Investment Advisors , Securities and Exchange Commission (SEC)

The SEC’s New Marketing Rule - Practically Speaking: What Is an Advertisement?

In December 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended. Those finalized amendments merged the...more

11/1/2022  /  Advertising , Endorsements , Investment Adviser , Investment Advisers Act of 1940 , Marketing , New Rules , Registered Investment Advisors , Securities and Exchange Commission (SEC) , Testimonial Statements

Investment Management Update - March 2021

Just before we said goodbye to 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended (Advisers Act). The SEC...more

3/9/2021  /  Investment Adviser , Investment Advisers Act of 1940 , Investment Management , Marketing , OCIE , Regulation S-T , Securities and Exchange Commission (SEC)
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