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Cash Solicitation

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). ...
Best practices for complying with the cash solicitation rule
This Risk Alert includes observations by OCIE staff and is intended to assist investment advisers in identifying potential issues and adopting and implementing effective compliance ...
It’s difficult to confuse the plain dictates of the cash solicitation rule, Advisers Act rule 206(4)-3, yet it seems some advisers have done just that. ...

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