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SEC Modernizes Investment Adviser Marketing and Solicitation Rules

USA - January 15 2021 On December 22, 2020, the SEC created a new merged rule (Marketing Rule) that replaces two rules under the Advisers Act, rule 206(4)-1 (Marketing…

Gerry R. Griffith, II.

New Form CRS to be Required from Investment Advisers and Broker-Dealers Next Week

USA - June 24 2020 Designed to protect retail investors from conflicts of interest, the SEC's new Regulation Best Interest, known as Reg BI, and related rules take…

Michael K. Grigsby.

SEC Provides Temporary Relief to Investment Advisers From Forms ADV and PF Filing Deadlines

USA - March 19 2020 Due to the outbreak of COVID-19 and its current and potential effects, the Securities and Exchange Commission (SEC) issued an order on Friday, March…

Abraham Sotelo.

Summary of the SEC's Division of Investment Management FAQ

USA - November 13 2019 Investment advisers often have inherent conflicts of interests that arise from their compensation structure…

Abraham Sotelo.

SEC Adopts Regulation Best Interest, a New Form CRS and Other Guidance

USA - June 14 2019 New rule includes a heightened standard for broker-dealers, new required disclosures for investment advisers and broker-dealers and other guidance On…