Securities and Exchange Commission (SEC), Financial Regulatory Reform, Advertising

Troutman Pepper Locke Weekly Consumer Financial Services Newsletter – March 2025

Troutman Pepper Locke on 3/5/2025

To keep you informed of recent activities, below are several of the most significant federal and state events that have influenced the Consumer Financial Services industry over the past week....more

Publication of Sweeping Changes to SEC Marketing Rule Sets Effective and Compliance Dates

Proskauer Rose LLP on 3/15/2021

On March 5, 2021, the SEC release adopting broad changes to rule 206(4)-1 under the U.S. Investment Advisers Act of 1940 was published in the federal register...more

SEC Adopts New Marketing Rule

Herbert Smith Freehills Kramer on 1/4/2021

The Securities and Exchange Commission (SEC) announced on Dec. 22, 2020, that it has finalized amendments to the current advertising rule (Rule 206(4)-1) and cash solicitation rule (Rule 206(4)-3) under the Investment...more

Protecting Your Investment: Insights For 2020

Morgan Lewis on 2/3/2020

Investors and investment managers around the globe are seeing increasing rules and regulations on how they can deploy their money, how they can advertise their services, and how they have to report to regulators. ...more

SEC Proposes to Amend Advertising and Client Solicitation Rules

Troutman Pepper Locke on 1/31/2020

In November 2019, the Securities and Exchange Commission released proposed amendments to Rule 206(4)-1 (Advertising Rule) under the Investment Advisers Act of 1940 (Advisers Act). The Advertising Rule was first adopted in...more

SEC Proposes Significant Amendments to Investment Adviser Solicitation Rule

Cadwalader, Wickersham & Taft LLP on 12/3/2019

The Securities and Exchange Commission (the “Commission” or the ”SEC”), on November 4, approved the publication of a substantial release (the “Release”) proposing significant amendments to the rules under the Investment...more