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.
If you would like to join IBDC-RIAC Alliance Members at the April 10, 2024 Yankees vs Marlins baseball game, Yankee Stadium 7:00 pm, please send Lilian Morvay a message at: Lilian@IBDCconsulting.com and she will send you an invitation.
The following IBDC-RIAC Alliance Members will be your hosts: