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Volume and Range of Comments May Lead to Delays or Changes to Proposed SEC Advertising Rule

After multiple delays, the SEC finally proposed rule changes to permit advertising under Rule 506 offerings and invited comments from the public. Given the number and range of responses, we anticipate slow going for adoption of final rules and the possibility of significant changes to the rule as proposed.  Read more.

Jack G. Martel is the author of Investment Adviser Law Blog devoted to providing information and discussion of interest to investment advisers, private fund managers and others in the financial management industry. Jack is a partner in Ragghianti | Freitas LLP. He has over fifteen years experience in general business and securities transactions with a focus on assisting investment advisers, fund sponsors and managers in all manner of legal, regulatory and compliance issues. He can be reached at 415.453.9433.

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