SEC Withdraws, Modifies No-Action Letters RE: Advertising, Cash Solicitation
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November 12, 2021
SEC Fines Digital Adviser Nearly $25,000 for “Blogger” Arrangements, False Marketing Materials
SEC Fines Digital Adviser Nearly $25,000 for “Blogger” Arrangements, False Marketing Materials June 15, 2021 The SEC has settled charges against a Canadian-based SEC-registered digital adviser for violating the...
June 15, 2021
SEC Modernizes Advertising and Solicitation Rules
SEC Modernizes Advertising and Solicitation Rules Eliminates Pre-Review Requirement, Narrows Definition to Facilitate Routine Client Communications December 23, 2020 In a victory for long-term IAA advocacy, the SEC has...
December 23, 2020
SEC Proposes Exemptions from B-D Registration for Certain “Finders” of Issuers of Private Offerings
SEC Proposes Exemptions from B-D Registration for Certain “Finders” of Issuers of Private Offerings Transaction-Based Compensation from Issuer to Finder Permitted under Specific Conditions October 26, 2020 In an...
October 26, 2020
IAA Comments Again on SEC’s Solicitation Proposal
IAA Comments Again on SEC’s Solicitation Proposal Repeats Opposition to Extending Solicitation Rule to Private Funds July 22, 2020 The IAA has submitted additional comments to the SEC in response...
July 22, 2020
IAA Comments on SEC’s Advertising and Solicitation Proposals
IAA Comments on SEC’s Advertising and Solicitation Proposals Proposals an Important First Step, but Could Impose Significant Burdens February 19, 2020 The IAA has submitted a comment letter in...
February 19, 2020
IAA Submits Comment Letter on SEC’s Advertising and Solicitation Proposals
IAA Submits Comment Letter on SEC’s Advertising and Solicitation Proposals February 11, 2020 The SEC’s Advertising Rule proposal represents a milestone for IAA advocacy and an important first step...
February 11, 2020
SEC Proposes Significant Overhaul of Advertising and Solicitation Rules
SEC Proposes Significant Overhaul of Advertising and Solicitation Rules November 25, 2019 In a move that is long overdue, the SEC has proposed a comprehensive overhaul of the rules...
November 25, 2019
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