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Advisers Act Cash Compensation Rule Does Not Apply to Payments Made Exclusively for Soliciting Investors in Investment Pools |
August 7, 2008
Previously published on July 22, 2008
On July 15, 2008, the U.S. Securities and Exchange Commission staff issued an Interpretive Letter (the "Interpretive Letter") clarifying the staff's position on Rule 206(4)-3 (the "Solicitation Rule") promulgated under the Investment Advisers Act of 1940 (the "Advisers...
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The views expressed in this article are solely the views of the author and not Martindale-Hubbell. This article is intended for informational purposes only and is not legal advice or a substitute for consultation with a licensed legal professional in a particular case or circumstance. |
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