New Marketing Rules for Investment Advisers

Thoughtware Alert Published: May 13, 2021
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In late December 2020, the SEC released updates to 40-year-old rules governing investment adviser advertising and payments to solicitors. This article provides details on the amendments, which create merged, principles-based guidance that replaces the current advertising and cash solicitation rules to better reflect product and technology innovations, while continuing to protect investors from potential harm from misleading advertisements and limit conflicts of interest created by solicitor compensation.

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