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ARTICLE · 23 APRIL 2025

Financial Markets And Funds Quick Take | Issue 37

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Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds.

United StatesFinance and Banking
Katten Muchin Rosenman LLP
Katten Muchin Rosenman LLP
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Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds.

To read more issues of Katten's Financial Markets and Funds Quick Take, please click here.

SEC Marketing Rule Update: New Staff FAQs on Performance Presentations

By Adam Bolter

On March 19, Staff from the Securities and Exchange Commission (SEC) issued much-needed (and anticipated) relief in the form of two new frequently asked questions (FAQs) related to rule 206(4)-1 under the Investment Advisers Act of 1940 (the Marketing Rule). Read about the FAQs' key takeaways. 

FINRA Proposes and Seeks Comment on Simplified Rules for Outside Business Activities and Private Securities Transactions

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