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 the Advertising and Cash Solicitation Rules in effect during the relevant time period for this enforcement action,...
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. The amendments create a single rule that...
December 23, 2020
SEC to Vote on Advertising/Solicitation Rule Amendments
The SEC has scheduled an Open Meeting on Wednesday, December 16 at 10:00 am ET to consider, among other things, amendments to the rules governing investment adviser marketing practices. “We are pleased to see...
December 10, 2020
SEC Proposes Exemptions from B-D Registration for Certain “Finders” of Issuers of Private Offerings
In an effort to provide additional access to capital for businesses, the SEC recently voted 3-2 to propose a new exemption from broker-dealer registration for two types of “finders” acting...
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
New York Proposes to Register Investment Adviser Representatives, Solicitors
New York Proposes to Register Investment Adviser Representatives, Solicitors April 27, 2020 The New York Investor Protection Bureau of the Department of Law is proposing to require any investment...
April 27, 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