Stephen Meli

3 weeks ago | mondaq.com | Stephen Meli |Kevin McNiff |James McGrath

On March 19, 2025, the Securities and Exchange Commission (SEC)staff issued an update to its frequently asked questions(FAQ)1 guidance with respect to registered investmentadvisers' compliance with Rule 206(4)-1 (Marketing Rule) underthe Investment Advisers Act of 1940 (Advisers Act).

3 weeks ago | jdsupra.com | James McGrath |Kevin McNiff |Stephen Meli

On March 19, 2025, the Securities and Exchange Commission (SEC) staff issued an update to its frequently asked questions (FAQ)[1] guidance with respect to registered investment advisers’ compliance with Rule 206(4)-1 (Marketing Rule) under the Investment Advisers Act of 1940 (Advisers Act).