SEC Reforms Investment Advisers Act Regulation of Marketing Practices
Wed 30 Dec, 2020 / by C. Dirk Peterson / Securities Regulation
DOWNLOAD PDF New Rule 206(4)-1 – Adviser Marketing Introduction The Securities and Exchange Commission (“SEC” or “Commission”) delivered on highly anticipated regulatory reforms relevant to the marketing practices of investment advisers registered pursuant to, and regulated by, the Investment Advisers Act of 1940 (“Advisers Act”). The Commission’s recently adopted marketing […]