Pages from Draft IA Advertising and Solicitation Rule Proposals Comment Letter

The Loan Syndications and Trading Association (“LSTA”) appreciated the opportunity to comment on the Securities and Exchange Commission’s (the “SEC”) proposed rule release (“Proposal”)2 regarding the proposed amendments to Rule 206(4)-1 (the “Advertising Rule”) and Rule 206(4)-3 (the “Solicitation Rule”), both under Section 206 of the Investment Advisers Act of 1940, as amended.

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Draft-IA-Advertising-and-Solicitation-Rule-Proposals-Comment-Letter.pdf

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