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SEC RIN: 3235-AM08 Publication ID: Spring 2020 
Title: Investment Adviser Advertisements; Compensation for Solicitations 
Abstract:

The Division is considering recommending that the Commission adopt amendments to rules 206(4)-1 and 206(4)-3 under the Investment Advisers Act of 1940 regarding marketing communications and practices by investment advisers.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
EO 13771 Designation: Independent agency 
CFR Citation: 17 CFR 206(4)-1    17 CFR 206(4)-3    17 CFR 204-2     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 15 U.S.C. 80b-b(4)    15 U.S.C. 80b-11a    15 U.S.C. 80b-(4)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  12/10/2019  84 FR 67518   
NPRM Comment Period End  02/10/2020 
Final Action  10/00/2020 
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: None 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: Yes 
Agency Contact:
Melissa Harke
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6722
Email: harkem@sec.gov