With the SEC’s adoption of rules under the JOBS Act, new Rule 506(c) allows advisers to conduct general advertising and general solicitation if certain additional steps are taken. Not many firms appear to be dipping their toes in just yet, but our consultants jump right in for an immersive discussion of the rule revisions and what you need to know. Also, the SEC’s Division of Investment Management does an about-face on an interpretation of the custody rule.
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- Insurance Considerations for Investment Advisers
- Custody – Get It Right: Just in Time for Your Annual Updating Amendment!
- SEC and FINRA 2018 Examination Priorities
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