United States: SEC Overhauls Its Marketing Rules For Registered Investment Advisers - Reinhart Boerner Van Deuren s.c.

United States: SEC Overhauls Its Marketing Rules For Registered Investment Advisers - Reinhart Boerner Van Deuren s.c.

Mondaq

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On December 22, 2020, the U.S. Securities and Exchange Commission (SEC) adopted amended Rule 206(4)-1 under the Investment Advisers Act of 1940 to replace its existing advertising rule (prior Rule 206(4)-1) and solicitation rule (prior Rule 206(4)-3).

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