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Email The Securities and Exchange Commission (the “Commission” or the ”SEC”), on November 4, approved the publication of a substantial release (the “Release”) proposing significant amendments to the rules under the Investment Advisers Act of 1940 (the “Advisers Act”) that govern advertising by investment advisers and the solicitation of both advisory accounts and investments into managed funds, as well as related recordkeeping requirements. https://www.cadwalader.com/resources/clients-friends-memos/sec-proposes-significant-amendments-to-investment-adviser-solicitation-rule