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Tag: Solicitation Rule

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SEC Withdraws, Modifies No-Action Letters RE: Advertising, Cash Solicitation

As expected, the SEC is withdrawing certain staff no-action letters relating to the current Advisers Act Advertising and Cash Solicitation Rules.

November 12, 2021

Tags: Advertising Rule, Division of Investment Management, Marketing Rule, Solicitation Rule

SEC Fines Digital Adviser Nearly $25,000 for “Blogger” Arrangements, False Marketing Materials

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June 18, 2021

Tags: SEC Enforcement, Solicitation Rule

IAA Comments Again on SEC’s Solicitation Proposal

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November 25, 2020

Tags: Solicitation Rule

SEC Proposes Exemptions from B-D Registration for Certain “Finders” of Issuers of Private Offerings

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November 25, 2020

Tags: Reg D, Private Offerings, Solicitation Rule

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