• Understanding the New SEC Marketing Rule🔍
• How the SEC's New Marketing Rule Is Changing the Landscape for ...🔍
• The SEC Renews its Emphasis on Compliance with the New ...🔍
• The New SEC Marketing Rule and Implications for Social Media🔍
• Compliance Date Approaching for New Marketing Rule for ...🔍
• Marketing Rule Implementation – Are You Ready for November 4th?🔍
• Marketing Rule for Registered Investment Advisers Becomes ...🔍
• SEC's New Marketing Rule for Investment Advisers Now in Effect🔍

Understanding the New SEC Marketing Rule - YouTube

The SEC regulates marketing material for investment advisors to protect investors and maintain the integrity of the financial markets.

How the SEC's New Marketing Rule Is Changing the Landscape for ...

The Securities and Exchange Commission recently released a new amendment to Rule 206(4)-1 (the “Marketing Rule”)[1] under the Investment ...

The SEC Renews its Emphasis on Compliance with the New ...

The Marketing Rule, which became effective on May 4, 2021, with a compliance deadline of November 4, 2022, significantly reformed old advertising-related rules.

The New SEC Marketing Rule and Implications for Social Media

The formerly separated rules are now combined under the new Marketing Rule, Rule 206(4)-1 of the Advisers Act, made effective May 4, 2021 ...

Compliance Date Approaching for New Marketing Rule for ...

The Marketing Rule generally prohibits an investment adviser from including or excluding performance results in a manner that is not “fair and ...

Marketing Rule Implementation – Are You Ready for November 4th?

The compliance date for the SEC's new investment adviser Marketing Rule is November 4, 2022, allowing just over a month for an investment ...

Marketing Rule for Registered Investment Advisers Becomes ...

The Marketing Rule expands the scope of permissible investment adviser advertisements. Testimonials and endorsements, subject to required ...

SEC's New Marketing Rule for Investment Advisers Now in Effect

The regulatory change, which consolidates these two principles into a single regulation now known as the Marketing Rule, is designed to, among ...

Promoters And The SEC Marketing Rule: Guidance For Advisers

In response to this shifting landscape, the SEC has scrapped its old Cash Solicitation Rule and folded the regulations for third-party ...

SEC Adopts New Marketing Rule for Investment Advisers | ACA Group

Proposed Rule vs. · The New Rule Consolidates the Advertising Rule and the Cash Solicitation Rule · The Definition of “Advertisement” is Expanded ...

New Marketing Rule Under the Investment Advisers Act

Moreover, an “advertisement” now includes any “direct or indirect” communication made by an adviser that offers investment advisory services ...

Explore the latest SEC modernized marketing rules and learn ...

At the end of 2020, the Securities and Exchange Commission announced a series of adjustments to the Investment Advisers Act of 1940, to be effective May 4, 2021 ...

SEC's Amended Advertising Rules for Investment Advisers

Testimonials and Endorsements Are Now Permitted ... The new Marketing Rule permits the use of testimonials and endorsements, subject to compliance ...

SEC Adopts Revised Investment Adviser Marketing Rule

The Marketing Rule will be effective 60 days after its publication in the Federal Register, and investment advisers will have eighteen ...

SEC Risk Alert Spells Out the Agency's Expectations for Investment ...

The Marketing Rule replaced two separate rules and a patchwork of regulatory guidance that previously governed advertising practices and solicitation ...

Marketing Rule's Transition Period Set to Expire; SEC Enforcement ...

[1] The Marketing Rule became effective on May 4, 2021 and provided for an 18-month transition period, ending on November 4, 2022 (the “ ...

SEC Marketing Rule: A Simple Guide to Compliance - AssetMark

Before the amended rule, advisors were not allowed to use testimonials for advertising purposes. The new marketing rule from the SEC permits ...

Tips for Addressing the Prohibitions Under SEC New Marketing Rule

2022. In addition to replacing the prior advertising and solicitation rules with a single rule that covers both, the SEC also addressed ...

SEC Modernizes Investment Adviser and Solicitor Marketing Rules

Therefore, the New Marketing Rule achieves the original proposal's goal of expanding the scope of the advertisement definition by capturing ...

Key Elements of the New Marketing Rule - Core Compliance

Revised definition of advertisement and new definitions of various other related terms. · Removal of the prohibition on testimonials and past ...