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SEC Advertising Rule

Foley Hoag LLP

SEC Adopts New Marketing Rule FAQ

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On February 6, 2024, the U.S. Securities and Exchange Commission (“SEC”) issued an updated FAQ for investment advisers relating to SEC Rule 206(4)-1 (the “Marketing Rule”), and the reporting of gross and net performance...more

Carlton Fields

Tailored Specifically: Recent SEC Regulatory Developments Relating To Advertising

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I. INTRODUCTION AND OVERVIEW - Gary Gensler’s tenure-to-date as Chairman of the Securities and Exchange Commission (“SEC”) is striking for its exceptionally active rulemaking agenda. Two rulemakings of tremendous import to...more

Manatt, Phelps & Phillips, LLP

SEC Adopts New Private Fund Adviser Rules

On August 23, 2023, a divided U.S. Securities and Exchange Commission (SEC) issued new rules (the Rules) relating to the regulation of private fund advisers. The Rules aim to help protect investors in private funds (including...more

Troutman Pepper

SEC Adopts New Advisers Act Rules for Private Fund Advisers

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On August 23, the Securities and Exchange Commission (SEC) adopted new rules (Adopting Release) for private fund advisers under the Investment Advisers Act of 1940, as amended (Advisers Act). The new rules require private...more

Goodwin

SEC Adopts Amendments to Shareholder Reports and Advertising Rules

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On October 26, 2022, the US Securities and Exchange Commission (SEC) voted to adopt rule and form amendments (the “final rules”) related to (1) shareholder reports of mutual funds and exchange-traded funds (ETFs) registered...more

UB Greensfelder LLP

[Webinar] The Future for Private Funds and Their Advisors – More Regulation; Less Private - February 23rd, 2:00 pm - 3:00 pm EST

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Join Ulmer partner Howard M. Groedel as he discusses recent regulatory actions and what they portend for private funds and their advisors. Among other topics, Howard will address: - The primary take-aways from SEC...more

UB Greensfelder LLP

AWC Serves As Reminder That Scope Of FINRA’s Advertising Rule Extends Beyond Securities

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I have always found it enlightening – and a bit scary – to talk to my clients about FINRA Rule 2210, the advertising (or “communications with the public”) rule, to see what they know about it. It’s a long, dense rule, so I’m...more

Proskauer Rose LLP

SEC Revises Marketing Rule for Registered Investment Advisers

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On December 22, 2020, the Securities and Exchange Commission (“SEC”) adopted amendments to existing Rule 206(4)-1 (the “Advertising Rule”) and rescinded Rule 206(4)-3 (the “Cash Solicitation Rule”) under the Investment...more

Stinson LLP

SEC Modernizes Investment Adviser Marketing and Solicitation Rules

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On December 22, 2020, the SEC created a new merged rule (Marketing Rule) that replaces two rules under the Advisers Act, rule 206(4)-1 (Marketing Rule), originally adopted in 1961, and rule 206(4)-3 (Solicitation Rule),...more

Goodwin

SEC Finalizes Reforms Under Investment Advisers Act

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In this Issue. The Securities and Exchange Commission (SEC) finalized reforms under the Investment Advisers Act to modernize rules that govern investment adviser advertisements and payments to solicitors, and published a risk...more

Seyfarth Shaw LLP

SEC Modernizes Decades-Old Investor Marketing Rules to Address Evolution of Markets and Technology

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Seyfarth Synopsis: The Securities and Exchange Commission (“SEC”) adopted a new investor marketing rule to replace and modernize its current advertising and cash solicitation rules. Neither of these rules has been...more

Ballard Spahr LLP

SEC Proposes to Improve the Retail Investor Experience Through Modernized Fund Shareholder Reports and Disclosures

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The Securities and Exchange Commission (the SEC) proposed comprehensive modifications to the disclosure framework for mutual funds and exchange-traded funds (ETFs and, collectively with mutual funds, funds). The purpose of...more

Carlton Fields

SEC Proposes Changes to Fund Shareholder Reports, Prospectuses, SAIs, and Ads

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On August 5, the SEC proposed what it called “comprehensive modifications to the mutual fund … disclosure framework.” ...more

Goodwin

Financial Services Weekly Roundup: SEC Proposes Modified Disclosure Framework For Funds

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In the News. The Securities and Exchange Commission (SEC) proposed modifying the disclosure framework for mutual funds and exchange-traded funds (funds), which would create a new layered disclosure regime that attempts to...more

Troutman Pepper

SEC: Improve the Retail Investor Experience through Better Fund Shareholder Reports and Disclosures

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In a substantial August 5, 2020, release (the Proposal), the U.S. Securities and Exchange Commission (SEC) proposed changes to the existing disclosure framework applicable to mutual funds and exchange-traded funds (open-end...more

Troutman Pepper

Rights And Risks In The Age Of Transparency

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In its examinations of investment managers over the past decade, the SEC has consistently focused intensely on conflicts, disclosures and fiduciary duties. Originally published in The Legal Supplement: Expert Commentary -...more

Pillsbury Winthrop Shaw Pittman LLP

Private Funds Litigation/Regulatory Year in Review and 2020 Outlook

TAKEAWAYS - SEC scrutiny of private funds underscores the importance of remaining vigilant, including updating and improving compliance infrastructure and evaluating internal policies and procedures. - Private funds...more

Eversheds Sutherland (US) LLP

Videocast: Asset management regulation in 2020 videocast series – Private fund regulatory developments

Hear how proposed changes to the Advertising Rule and the Solicitation Rule under the Investment Advisers Act could affect private funds and their sponsors. In this Bottom Line videocast, Michael Koffler and Michael Voynich...more

Dechert LLP

SEC Proposes Amendments to the Advertising and Solicitation Rules

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The U.S. Securities and Exchange Commission has proposed amendments to Rule 206(4)-1 – Advertisements by Investment Advisers (Current Advertising Rule) and Rule 206(4)-3 – Cash Payments for Client Solicitations (Current...more

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