Hotline Support

SEC Proposes Changes To Advertising Rule

Four Tips for Broker-Dealers to Effectively Navigate the Enhanced Standard of Conduct Under Reg. BI
December 5, 2019
hr-digital-transformation-1
How HR’s Digital Transformation Will Elevate the Candidate, Employee Experience in 2020
January 6, 2020

The Securities and Exchange Commission (“SEC” or “Commission”) recently published a proposal for significant changes to the rules and guidance surrounding the marketing and advertising activities of registered investment advisers and the engagement of solicitors. The goal of such amendments seems to be focused around bringing the rules into the digital age, as well as attempting to merge the various rules, guidance, and no-action letters into a cohesive regulation. 

Click here to read