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Disclosure Requirements › Investment Management › Advertising

Eversheds Sutherland (US) LLP

SEC staff issues new FAQs on the Marketing Rule, providing investment advisers with flexibility and clarity

Eversheds Sutherland (US) LLP on

On March 19, 2025, the Securities and Exchange Commission’s (SEC) Division of Investment Management staff (Staff) issued two new Frequently Asked Questions (FAQs) focused on Rule 206(4)-1 under the Investment Advisers Act of...more

K&L Gates LLP

SEC Proposes Major Changes to Prospectus and Shareholder Report Disclosure Scheme

K&L Gates LLP on

I. INTRODUCTION AND SUMMARY - The Securities and Exchange Commission (SEC) has proposed a bold new approach to shareholder and investor communications by investment companies registered on Form N-1A under the Investment...more

Akin Gump Strauss Hauer & Feld LLP

[Podcast] AG Funds Minutes: SEC Proposes to Modernize Advertising and Cash Solicitation Rules

Akin Gump Strauss Hauer & Feld LLP on

In this episode, Akin Gump investment management partners Barbara Niederkofler and Jason Daniel discuss the Security and Exchange Commission’s proposed modernization of the advertising and cash solicitation rules under the...more

Herbert Smith Freehills Kramer

SEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers

Herbert Smith Freehills Kramer on

The Securities and Exchange Commission (the SEC) announced on Monday that it had voted to propose amendments to modernize Rule 206(4)-1 (which addresses investment adviser advertisements) (the Advertising Rule) and Rule...more

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