Transcription of Final Rule: Investment Adviser Marketing
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Final Rule: Investment Adviser Marketing
Conformed to Federal Register Version SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 275 and 279 [Release No. IA-5653; File No. S7-21-19] RIN: 3235-AM08 Investment Adviser Marketing AGENCY: Securities and Exchange Commission. ACTION: Final rule. SUMMARY: The Securities and Exchange Commission (the Commission or the SEC ) is adopting amendments under the Investment Advisers Act of 1940 (the Advisers Act or the Act ) to update rules that govern Investment Adviser Marketing . The amendments will create a merged rule that will replace both the current advertising and cash solicitation rules. These amendments reflect market developments and regulatory changes since the advertising rule s adoption in 1961 and the cash solicitation rule s adoption in 1979. The Commission is also adopting amendments to Form ADV to provide the Commission with additional information about advisers Marketing practices.
behalf, and some investment advisers arrange for related entities or third parties, such as broker- dealers, to solicit new investors. The person or entity compensated has a financial incentive to
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