Jacqueline May

Jacqueline May

Paul Hastings LLP

Contact
View Bio
RSS

Latest Posts › Investment Advisers Act of 1940

Share:

Reminder About SEC's New Marketing Rule for Investment Advisers

As a reminder, the U.S. Securities and Exchange Commission (the “SEC”) adopted new rules in late 2020 (the “Marketing Rules”) that govern investment adviser advertising and use of solicitors/placement agents. The Marketing...more

10/19/2022  /  Advertising , Broker-Dealer , Disclosure Requirements , Investment Adviser , Investment Advisers Act of 1940 , Marketing , Policies and Procedures , Securities and Exchange Commission (SEC)
1 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide