Marketing for Agents Modernized SEC Marketing Rule for Investment Advisers admin Jan 21, 2021 Wednesday, January 20, 2021 On 22 December 2020, the U.S. Securities and Exchange Commission (SEC) adopted amendments (the final rule) to Rule…
Marketing for Agents The SEC’s Modernized Marketing Rule for Investment Advisers | K&L Gates LLP admin Jan 20, 2021 On 22 December 2020, the U.S. Securities and Exchange Commission (SEC) adopted amendments (the final rule) to Rule 206(4)-1 under the Investment Advisers Act of 1940 (the Advisers Act) to modernize the regulation of investment adviser…
