Session VII - Advertising Developments: 2019 Boston Investment Management Conference

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SEC ADVERTISING AND CASH SOLICITATION PROPOSALS: OVERVIEW -

- On November 4, 2019, the SEC proposed amendments to modernize rules addressing investment adviser advertisements and payments to solicitors

- In proposing amendments, the SEC recognized:

- Changes in technology and social media

- Expectations of investors seeking advisory services

- Evolution of industry practices

- Comments due 60 days following publication in the Federal Register

Please see full publication below for more information.

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