Shannon Delaney

Shannon Delaney

Morgan Lewis

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In Focus: Analysis of SEC Proposals to Modernize Advertising and Solicitation Rules

On November 4, 2019, the US Securities and Exchange Commission (SEC) proposed amendments to Rule 206(4)-1 (the Advertising Rule) and Rule 206(4)-3 (the Solicitation Rule) under the Investment Advisers Act of 1940. The...more

12/9/2019  /  Advertising , Financial Services Industry , Investment Advisers Act of 1940 , Investment Funds , Securities and Exchange Commission (SEC) , Solicitation
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