Tag: Solicitation Rule
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
SEC Fines Digital Adviser Nearly $25,000 for “Blogger” Arrangements, False Marketing Materials June 15, 2021 The SEC has settled charges against a Canadian-based SEC-registered digital adviser for violating the...
June 15, 2021
Tags: SEC Enforcement, Solicitation Rule
SEC Modernizes Advertising and Solicitation Rules
SEC Modernizes Advertising and Solicitation Rules Eliminates Pre-Review Requirement, Narrows Definition to Facilitate Routine Client Communications December 23, 2020 In a victory for long-term IAA advocacy, the SEC has...
December 23, 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
Tags: Solicitation Rule
SEC Proposes Exemptions from B-D Registration for Certain “Finders” of Issuers of Private Offerings
SEC Proposes Exemptions from B-D Registration for Certain “Finders” of Issuers of Private Offerings Transaction-Based Compensation from Issuer to Finder Permitted under Specific Conditions October 26, 2020 In an...
October 26, 2020
Tags: Reg D, Private Offerings, Solicitation Rule
SEC Proposes Significant Overhaul of Advertising and Solicitation Rules
SEC Proposes Significant Overhaul of Advertising and Solicitation Rules November 25, 2019 In a move that is long overdue, the SEC has proposed a comprehensive overhaul of the rules...
November 25, 2019
Tags: Form ADV, Advertising Rule, Recordkeeping, Solicitation Rule, Webinars
IAA Submits Comment Letter on SEC’s Advertising and Solicitation Proposals
IAA Submits Comment Letter on SEC’s Advertising and Solicitation Proposals February 11, 2020 The SEC’s Advertising Rule proposal represents a milestone for IAA advocacy and an important first step...
February 11, 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
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL
