Sponsored Events
Venture Atlanta 2025
October 15 – 16, 2025
The Woodruff Arts Center and Atlanta Symphony Hall
This article was originally published in the January 2025 issue of The Investment Lawyer and is republished here with permission.
It’s been only two years since the required compliance date for the US Securities and Exchange Commission’s (SEC) amended Rule 206(4)-1 (the Marketing Rule) under the Investment Advisers Act of 1940, as amended (Advisers Act). Since the Marketing Rule’s adoption, the SEC Staff of the Division of Investment Management (IM) has issued four FAQs and the SEC’s Division of Examinations (EXAMS) has issued three risk alerts on the rule. Despite this guidance, advisers are still struggling with implementation and interpretation issues, making the Marketing Rule ripe for further regulation through enforcement.
Click here to read the full article in The Investment Lawyer.
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Cherrystone Angel Group – Pitch Night 2025
October 14, 2025
CIC Providence
225 Dyer Street, Providence, RI
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M&A East 2025
October 14 – 15, 2025
Pennsylvania Convention Center
Speaking Engagements
PLI Broker/Dealer Regulation and Enforcement 2025
October 9, 2025 | 4:00 PM – 5:00 PM ET
1177 Avenue of the Americas, Entrance on 45th Street, New York, NY 10036