SBIA Comment Letter: Investment Advisor Ads and Solicitations

Vanessa Countryman, Secretary
U.S. Securities and Exchange Commission
100 F Street, N.E.
Washington, D.C. 20549

Re: SEC File No. S7-21-19: SBIA Comments on Proposed Rule on Investment Advisor Advertisements and Solicitations

Dear Ms. Countryman:

The Small Business Investor Alliance (“SBIA”) appreciates the opportunity to comment on the U.S. Securities and Exchange Commission’s (“SEC”) proposed amendments to rules governing certain investment advisor advertisement and payments to solicitors under the Investment Advisors Act of 1940 (the “1940 Advisors Act”).

Read the Full Public Comment >