The SEC's Modernized Marketing Rule for Investment Advisers

SEC Adopts Modernized Marketing Rule for Investment Advisers

The amendments create a single rule that draws from and replaces the current advertising and cash solicitation rules. In addition, the SEC has ...

Modernized Marketing Rule for Investment Advisers Takes Effect on ...

“The marketing rule reflects important updates to the traditional advertising and solicitation regimes, which have not been amended for decades, ...

The New Framework for Investment Adviser Marketing

In the intervening years the SEC has not updated these rules to reflect the ... The Marketing Rule reflects the SEC's concern that hypothetical performance ...

SEC "Modernizes" Investment Adviser Advertising and Paid ...

As detailed below, the New Marketing Rule broadly defines an advertisement as encompassing both direct and indirect communications relating to ...

The SEC Marketing Rule: What you need to know - Saifr

275.206(4)-1, finalized by the SEC in 2020 pursuant to the Investment Advisers Act (the “Act”), regulates the marketing communications of investment advisers.

Modernized Marketing Rule

The Marketing Rule is set to make a significant impact to the way that SEC-registered investment advisers market their services and investment advisers should ...

The SEC's New Marketing Rule - Practically Speaking: What Is an ...

When it comes to advertisements, the new marketing rule will not discriminate based on the medium of a particular communication. · Not all things ...

SEC Adopts New Marketing Rule FAQ | Foley Hoag LLP

On February 6, 2024, the U.S. Securities and Exchange Commission (“SEC”) issued an updated FAQ for investment advisers relating to SEC Rule ...

Modernized Registered Investment Adviser Marketing Rule - COMPLY

On December 22, 2020, the SEC finalized amendments to the Investment Advisers Act's Advertising Rule, the Books and Records Rule, and Form ADV. On December 22, ...

Preparing for the New SEC “Marketing Rule” - Risk Strategies

The US Securities and Exchange Commission's “Marketing Rule” went into effect, modernizing advertising and cash solicitation rules for investment advisors.

The SEC's New Marketing Rule Explained | Wealth Management

From that point, registered investment advisors have had an 18-month transition period—until Nov. 4, 2022—to fully adhere to its updated ...

White Paper: SEC Marketing Rule - The Wagner Law Group

The Marketing Rule replaces the solicitor rule (Rule 206(4)-3), which had been unchanged since it was released in 1979. Promoters (solicitors), ...

Performance Advertising Under the SEC's Marketing Rule - Kitces.com

Further, an investment adviser is prohibited from advertising performance results of a subset of investments extracted from a portfolio unless ...

SEC Issues Risk Alert on New Investment Adviser Marketing Rule

The Risk Alert begins by cautioning advisers to consider “whether they need to update or revise their written policies and procedures”

Navigating the SEC's Updated RIA Marketing Rule - BizEquity

With the introduction of the SEC's new marketing rule, financial advisors can now leverage testimonials, endorsements and third-party ratings in their ...

A deep dive into the SEC's new Marketing Rule

General prohibitions: · 1) Indicates recommendation and their experience with the investment adviser or its supervised persons · 2) Directly or ...

SEC Modernized Marketing Rule for Investment Advisers - Kroll

The amendments were made to help modernize rules that effectively regulate investment adviser's marketing communications. Advisers may adopt the ...

SEC Marketing Rule and the GIPS Standards | A Reference Guide

Section 206 of the Advisers Act is meant to prohibit investment advisors from engaging in any fraudulent, deceptive, or manipulative conduct. Rule 206(4)-1 ...

Understanding the SEC Marketing Rule for Financial Advisors

The rule now allows advisors to use client testimonials and endorsements in their marketing content, which is a key change and focal point for many advisors.

SEC Modernizes Investment Adviser and Solicitor Marketing Rules

On December 22, 2020, the U.S. Securities and Exchange Commission (SEC) announced a modernized rule (the New Marketing Rule) governing (i) ...