Samuel Hughes

Samuel Hughes

Foley Hoag LLP

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Marketing Rule's Transition Period Set to Expire; SEC Enforcement to Follow

On December 22, 2020, the U.S. Securities and Exchange Commission (“SEC”) announced that it was adopting amendments under the Advisers Act of 1940 (the “Advisers Act”) to implement a revised Rule 206(4)-1 (the “Marketing...more

10/3/2022  /  Advertising , Amended Rules , Compliance , Investment Adviser , Investment Advisers Act of 1940 , Marketing , New Rules , Policies and Procedures , Registered Investment Advisors , Securities and Exchange Commission (SEC)
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