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SEC Adopts Rule Governing Affiliate Marketing - Regulation S-AM

September 23, 2009

By Investment Management Practice

The Securities and Exchange Commission (the SEC) recently adopted Regulation S-AM (Reg S-AM) limiting the extent to which certain financial institutions can provide consumer information to affiliates for marketing purposes. Regulation S-AM complements current restrictions contained in Regulation S-P, as we discuss in this StayCurrent.

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