SEC’S Marketing Rule Compliance Date – November 4, 2022
Tue 25 Oct, 2022 / by C. Dirk Peterson / Client Alerts
DOWNLOAD PDF SEC MARKETING RULE – RULE 206(4)-1 In December 2020, the SEC materially reformed rules governing the marketing practices of investment advisers, including rules governing an adviser’s fund-raising efforts for private investment funds – funds excluded from regulation under the Investment Company Act of 1940 (“1940 Act”).1 NOVEMBER 4… [Click to Read More]