Cash Solicitation

A lesson for compliance officers is that if your shop doesn't pay close enough attention to the rules, your firm could wind up with a ...

Fundrise clients were not fully informed of the content creators’ financial interests in promoting Fundrise’s investment advisory services and real estate investment platform and therefore ...

A peer shares the firm's contract it uses with solicitors

A peer shares a new solicitation P&P designed to comply with the new SEC IA ad rule

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