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New SEC Rule Replaces the Decades Old Advertising and Solicitation Rules for Advisers |
The SEC has adopted sweeping changes to its decades old advertising and solicitation rules for investment advisers. These changes repeal the prohibitions on testimonials and past specific recommendations, expand the scope of the solicitation rule to noncash compensation arrangements and marketing of private funds, and permit many types of performance advertising that were previously prohibited. The new rule also imposes a new requirement that advisers produce to the SEC the evidence for any factual assertions in advertisements. These changes are likely to impact materially the $97 trillion advisory industry.
KATTEN SPEAKERS:
Wendy Cohen
Co-Chair, Investment
Management and Funds
Partner, Financial Markets
and Funds
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Mark Goldstein
Counsel,
Financial Markets and Funds
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QUESTIONS
Email Michelle Hauser or call +1.202.625.3586.
CLE
Katten is an accredited provider of MCLE in Illinois and California. Katten has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the State of New York. This program is pending approval in these states for approximately 1 General CLE credit, subject to review of final presentation materials and attendance documentation. This program is suitable for transitional and non-transitional attorneys. If any attendees are licensed in Texas, Katten will apply for CLE credit with the State Bar of Texas, post-program. All verification forms must be returned to Katten within 10 business days of the program date or credit will not be issued. Our firm is not accredited in any other jurisdictions or professional accreditations; however, we will make agendas, speaker biographies and presentation materials (contingent upon speaker consent) available to those attorneys who wish to file an individual CLE application in their licensed jurisdiction. Please check your state’s rules as to whether reciprocal credit is available. Kindly note that Katten makes no representations whether other states will accredit this program.
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