SEC Withdraws, Modifies No-Action Letters RE: Advertising, Cash Solicitation
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November 12, 2021
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SEC Fines Digital Adviser Nearly $25,000 for “Blogger” Arrangements, False Marketing Materials
The SEC has settled charges against a Canadian-based SEC-registered digital adviser for violating Advertising and Cash Solicitation Rules.
June 15, 2021
SEC Modernizes Advertising and Solicitation Rules
In a victory for long-term IAA advocacy, the SEC has voted unanimously to adopt significant amendments to the marketing rules for investment advisers.
December 23, 2020
SEC to Vote on Advertising/Solicitation Rule Amendments
The SEC has scheduled an Open Meeting to consider, among other things, amendments to the rules governing investment adviser marketing practices.
December 10, 2020
SEC Proposes Exemptions from B-D Registration for Certain “Finders” of Issuers of Private Offerings
The SEC recently voted 3-2 to propose a new exemption from broker-dealer registration for two types of “finders” acting as agents of private issuers to “find” accredited investors.
October 26, 2020
IAA Comments Again on SEC’s Solicitation Proposal
The IAA has submitted additional comments to the SEC in response to its proposed amendments to the rule addressing payments to solicitors.
July 22, 2020
New York Proposes to Register Investment Adviser Representatives, Solicitors
The New York Investor Protection Bureau of the Department of Law is proposing to require any investment adviser representative in New York to register with the state through the Investment Adviser Registration Depository.
April 27, 2020
IAA Comments on SEC’s Advertising and Solicitation Proposals
The IAA has submitted a comment letter in response to the SEC’s proposed amendments to the rules addressing investment adviser advertisements and payments to solicitors.
February 19, 2020