Investment Funds / Securities Enforcement and Regulatory Update

SEC Adopts New Investment Adviser Marketing Rule

January 4, 2021

On December 22, 2020, the Securities and Exchange Commission adopted amendments to modernize and consolidate the rules under the Investment Advisers Act of 1940 addressing investment adviser advertisements and payments to solicitors. This Sidley Update provides a summary of the amendments, highlighting where the final rule deviates from the prior rules and the November 2019 proposed amendments.

To read the full Sidley Update, please click here.

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