The Law Library presents the complete text of the Regulation S-AM - Limitations on Affiliate Marketing (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition).
Updated as of May 29, 2018
The Securities and Exchange Commission (“Commission”) is adopting Regulation S-AM to implement Section 624 of the Fair Credit Reporting Act as amended by Section 214 of the Fair and Accurate Credit Transactions Act of 2003, which required the Commission and other Federal agencies to adopt rules implementing limitations on a person's use of certain information received from an affiliate to solicit a consumer for marketing purposes, unless the consumer has been given notice and a reasonable opportunity and a reasonable and simple method to opt out of such solicitations. The final rules implement the requirements of Section 624 with respect to investment advisers and transfer agents registered with the Commission, as well as brokers, dealers and investment companies.
This ebook contains:
- The complete text of the Regulation S-AM - Limitations on Affiliate Marketing (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition)
- A dynamic table of content linking to each section
- A table of contents in introduction presenting a general overview of the structure