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On November 4, all registered investment advisers will be required to be in compliance with the U.S. Securities and Exchange Commission's (SEC) new Marketing Rule,[1] promulgated under the Investment Advisers Act of 1940.
SEC to Inspect Firms for Compliance With New Advertising and Solicitation Rule - November 4 is the compliance date for the new rule governing advertising and solicitation...
On September 19, 2022, the Division of Examinations ("EXAMS") of the Securities and Exchange Commission ("SEC") released a Risk Alert ("Risk Alert")[1] relating to the new investment adviser...
Always do so. there's nothing that's going to prohibit that. these are rules against what we call solicitation. even if federal law didn't apply, an american lawyer is always bound by whatever state he practices in. that state is going to have individual rules about, ethically what lawyers can do when they solicit potential clients. that's going to apply to any american lawyer irrespective of what state he's in. >> even though you said i'd be real careful if i were a lawyer -- >> of course, i am a lawyer. >> you're a lawyer, and a careful one at that, and a profess professor. do you suspect, t...