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SEC (Finally) Modernizes Advertising and Solicitation Rules; NY Requires IAR Registration; DOL’s New Rule Eliminates ESG from Investment Decisions; SEC to Take Second Crack at Broker-Dealer Reg BI Compliance: Regulatory Update for January 2021

At Long Last – SEC Modernizes the Advertising and Solicitation Rules!  Cramming it in just before the end of 2020, the SEC adopted a new rule to replace the existing…