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SEC proposes changes to advertising and cash solicitation rules for investment advisers

  • SEC document Image

Nov 05, 2019

The SEC has issued a proposed rule, “Investment Adviser Advertisements; Compensation for Solicitations.”

The pro­posal would amend rules under the Investment Advisers Act of 1940 that “prohibit certain investment adviser advertisements and payments to solicitors.” The proposed amendments would “reflect changes in technology, the expectations of investors seeking advisory services, and the evolution of industry practices.”

Com­ments on the pro­posed rule are due 60 days after the date of its pub­li­ca­tion in the Federal Reg­is­ter. For more in­for­ma­tion, see the press release on the SEC’s Web site.

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