Paul Steffens

Paul Steffens

Troutman Pepper Locke

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Investment Management Update - Q2 2024

This update covers legal developments and regulatory news for funds, their advisers, and industry participants for the quarter ended June 30. Rulemaking and Guidance: • SEC Issues Third Marketing Rule Risk Alert for...more

10/8/2024  /  CFOs , Investment Adviser , Investment Management , Private Funds , Regulation S-P , Securities and Exchange Commission (SEC)

The SEC's New Marketing Rule - Practically Speaking: General Prohibitions

In December 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended. Those finalized amendments merged the...more

11/1/2022  /  Advertising , Amended Rules , Investment Adviser , Investment Advisers Act of 1940 , Marketing , New Rules , Registered Investment Advisors , Securities and Exchange Commission (SEC)

The SEC's New Marketing Rule - Practically Speaking: Hypothetical Performance

In December 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended. Those finalized amendments merged the...more

11/1/2022  /  Advertising , Amended Rules , Investment Adviser , Investment Advisers Act of 1940 , Marketing , New Rules , Registered Investment Advisors , Securities and Exchange Commission (SEC)

The SEC's New Marketing Rule - Practically Speaking: Performance Advertising/Track Records

In December 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended. Those finalized amendments merged the...more

11/1/2022  /  Advertising , Amended Rules , Investment Adviser , Investment Advisers Act of 1940 , Marketing , New Rules , Registered Investment Advisors , Securities and Exchange Commission (SEC)

The SEC’s New Marketing Rule - Practically Speaking: What Is an Advertisement?

In December 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended. Those finalized amendments merged the...more

11/1/2022  /  Advertising , Endorsements , Investment Adviser , Investment Advisers Act of 1940 , Marketing , New Rules , Registered Investment Advisors , Securities and Exchange Commission (SEC) , Testimonial Statements

The SEC's New Marketing Rule - Practically Speaking: Testimonials and Endorsements

In December 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended. Those finalized amendments merged the...more

11/1/2022  /  Cash Solicitation Rule , Investment Adviser , Investment Advisers Act of 1940 , Registered Investment Advisors , Securities and Exchange Commission (SEC) , Solicitation , Testimonial Statements
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