November 25, 2019

SEC Proposes Modernizing Advertising and Cash Solicitation Rules for Investment Advisers

In a much-anticipated move, the Securities and Exchange Commission (the “Commission” or the “SEC”) recently voted to propose amendments to modernize rules that prohibit certain investment adviser advertisements and payments to solicitors under Investment Advisers Act of 1940 (the “Advisers Act” or the “Act”). The proposal also contemplates amendments to Form ADV to require additional … Continued

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CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.