IAA Today Archive

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

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November 12, 2021

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

Categories & Topics: Advertising, Compliance, Solicitation

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

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June 15, 2021

Keywords: SEC Enforcement, Solicitation Rule

Categories & Topics: Advertising, Compliance, Enforcement, Solicitation

SEC Modernizes Advertising and Solicitation Rules

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December 23, 2020

Keywords: Advertising Rule, Marketing Rule, Solicitation Rule

Categories & Topics: Advertising, Compliance, Solicitation

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

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October 26, 2020

Keywords:  Reg D, Private Offerings, Solicitation Rule

Categories & Topics: Brokerage & Trading, Business Ops/HR, Compliance, Solicitation

IAA Comments Again on SEC’s Solicitation Proposal

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July 22, 2020

Keywords: Solicitation Rule

Categories & Topics: Compliance, Solicitation

IAA Comments on SEC’s Advertising and Solicitation Proposals

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February 19, 2020

Keywords: Advertising Rule, Solicitation Rule

Categories & Topics: Advertising, Compliance, Solicitation

IAA Submits Comment Letter on SEC’s Advertising and Solicitation Proposals

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February 11, 2020

Keywords: Advertising Rule, Solicitation Rule

Categories & Topics: Advertising, Compliance, Solicitation

SEC Proposes Significant Overhaul of Advertising and Solicitation Rules

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November 25, 2019

Keywords:  Form ADV, Advertising Rule, Recordkeeping, Solicitation Rule, Webinars

Categories & Topics: Advertising, Compliance, Solicitation