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SEC Marketing Rule FAQs Yield New Guidance

On 19 March 2025, the Securities and Exchange Commission staff issued updated frequently asked questions (FAQs) relating to Rule 206(4)-1 under the Investment Advisers Act of 1940 (the Marketing Rule) (available here)....more

Session VII - Advertising Developments: 2019 Boston Investment Management Conference

SEC ADVERTISING AND CASH SOLICITATION PROPOSALS: OVERVIEW - - On November 4, 2019, the SEC proposed amendments to modernize rules addressing investment adviser advertisements and payments to solicitors - In proposing...more

SEC Proposes to Modernize the Advertising Rule for Investment Advisers

On November 4, 2019, the U.S. Securities and Exchange Commission (“SEC”) published proposed amendments (the “proposed amendments” or “proposed rule”) to Rule 206(4)-1 (the “Advertising Rule”) under the Investment Advisers Act...more

SEC Broadens Enforcement Activity Related to Private Equity Fees and Expenses — And Narrows the Opportunity for Managers to...

On December 21, 2017 the U.S. Securities and Exchange Commission (the “SEC”) published a settlement order with TPG Capital Advisors, LLC (“TPG”) arising from insufficient disclosure regarding the acceleration of monitoring...more

FINRA Issues Interpretive Guidance on Related Performance in Institutional Communications

On June 9, 2017, the Financial Industry Regulatory Authority, Inc. (“FINRA”) issued an interpretive letter (the “Letter”) permitting the use of Related Performance Information (as defined below) in continuously offered...more

SEC Proposes Major Revisions to Money Market Fund Rules

On June 5, 2013, the Securities and Exchange Commission (“SEC”) voted to release its long-awaited proposals to make significant revisions to the rules governing money market mutual funds (“money funds”), as well as to adopt...more

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