AIMA WORKSHOP: The SEC Advertising and Cash Solicitation Rule Proposal – What You Need to Know Now


A recap of this workshop is available here.

On November 4, the SEC’s long-awaited proposal to amend investment adviser advertising and cash solicitation rules was released. At over 500 pages in length, it appears at a high level to provide some relief on more contentious points advisers struggle with in producing marketing material. However, looks can be deceiving; there are many elements in the proposal that actually could pose more challenges if this draft becomes rule as-is.

Following a delayed publication in the Federal Register, the comment period for the proposed rule is set to close on February 10. In the meantime, many in the industry have yet to fully appreciate the impact of this proposal on current practices.

AIMA, in partnership with Seward & Kissel, will hold a workshop on January 28 to review the practical application of the proposal on adviser advertising and solicitation practices. In doing so, we hope to increase understanding of what lies ahead for advisers, and perhaps encourage further comment to the SEC before that window of opportunity closes. Examples will be used to illustrate potential changes, and attendee participation is highly encouraged.  We hope you will join us for this timely and informative session.


  • Suzan Rose, Senior Advisor, Government & Regulatory Affairs, AIMA
  • Kevin Neubauer, Partner, Seward & Kissel LLP


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