U.S. broker-dealers and investment advisers that deal in crypto will get extra scrutiny from Securities and Exchange Commission examiners this year, according to the agency’s annual examination priorities announced Tuesday. The SEC-registered investment firms offering or advising about cryptocurrencies will be a focus. The regulator will ...Read More

The new “marketing rule” (Rule 206(4)-1 under the U.S. Investment Advisers Act of 1940) enacted by the SEC goes into effect November 4, 2022. It overhauls and modernizes the SEC’s “advertising rule” (Rule 206(4)-1) and “cash solicitation rule” (Rule 206(4)-3) and creates a single ...Read More

With the November 4, 2022 deadline for investment advisers to comply with the requirements and prohibitions for advertisements under the amended Advisers Act Rule 206(4)-1 (Marketing Rule) only a few weeks away, the U.S. Securities and Exchange Commission (SEC) Division of Examinations (EXAMS) issued ...Read More