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 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
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
IAA Submits Comment Letter on SEC’s Advertising and Solicitation Proposals
The IAA notes that the proposal addresses many themes and issues the IAA has raised over the past 20 years, especially those relating to the benefits of a principles-based approach to regulation.
February 11, 2020
SEC Proposes Significant Overhaul of Advertising and Solicitation Rules
In a move that is long overdue, the SEC has proposed a comprehensive overhaul of the rules addressing investment adviser advertisements and payments to solicitors.
November 25, 2019