Rule 206(4)-3 imposes restrictions on cash payments for client solicitations and imposes certain disclosure requirements. The information is necessary to inform advisory clients about the nature of a solicitor's financial interest in a recommendation so clients may consider the solicitor's potential bias prior to engaging the adviser.
The latest form for Rule 206(4)-3 under the Investment Advisers Act of 1940 (17 CFR 275.206(4)-3) expires 2022-02-28 and can be found here.
Document Name |
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Supplementary Document |
Supplementary Document |
Supporting Statement A |