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 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
The IAA has submitted additional comments to the SEC in response to its proposed amendments to the rule addressing payments to solicitors. Following up on questions raised by SEC staff during...
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. As we note in our...
February 19, 2020
IAA Submits Comment Letter on SEC’s Advertising and Solicitation Proposals
The SEC’s Advertising Rule proposal represents a milestone for IAA advocacy and an important first step in modernizing a rule that has not been materially amended since its adoption nearly...
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. According to the SEC, the...
November 25, 2019