Stacy Byrd Thomas

Stacy Byrd Thomas

Holland & Knight LLP

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SEC's Division of Investment Management Updates Marketing Rule FAQs

The SEC's Division of Investment Management (Division) on March 19, 2025, updated its Marketing Compliance Frequently Asked Questions (FAQs) with respect to Rule 206(4)-1 under the Investment Advisers Act of 1940 (Marketing...more

3/24/2025  /  Investment Adviser , Investment Advisers Act of 1940 , Investment Management , Marketing , New Guidance , Securities and Exchange Commission (SEC) , Securities Regulation
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