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Cash Solicitation

Sports agents, university coaches utilized in cash solicitations scheme
Best practices for complying with the cash solicitation rule
The Commission accomplishes something that critics have long called for, modernizing its 1961 ad rule (and to a lesser extent, its 1979 cash solicitation rule)
A peer hands you a tool to help you comply with the cash solicitation rule
A peer shares the firm's statement that solicitors must sign
SEC proposes changing the advertising rule for the first time in decades
Proposal would rename old rule, keep some elements and change others
Commission proposing tweaking record-keeping rule in light of advertising proposal
Cetera has paid cash fees to approximately 350 banks to, among other things, solicit investment advisory clients on behalf of Cetera. As part of this ...
For the first time in two years, OCIE’s 2019 exam priorities letter didn’t call out robo-advisers as a key focus (IA Watch, Jan. 2, 2019). ...

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