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

SEC Adopts Modernized Marketing Rule for Investment Advisers

The new Marketing Rule recognizes the advancement in communication technology and the recent landscape of advisory services. SEC Chairman John ...

Time's Almost Up: Are You Ready for the SEC's New Marketing Rule?

The SEC has replaced the existing prohibitions in the advertising rule with seven new general prohibitions. Investment advisers may not ...

Three Considerations for an Investment Adviser's Use of a Promoter ...

Further, as the New Marketing Rule prohibits certain “bad actors” from being promoters the Policies and Procedures Manual can provide the firm ...

The SEC's Modernized Marketing Rule: New Advertising ... - YouTube

Dechert LLP · Navigating the SEC's Rulemakings: Names Rule Amendments · How Climate Change, AI and Office Challenges Are Impacting CMBS With Erin ...

SEC Adopts Modernized Marketing Rule for Investment Advisers

The technology used for communications has advanced, the expectations of investors seeking advisory services have changed, and the profiles of ...

Top Ten List for Complying with the SEC's New Investment Adviser ...

The Marketing Rule seeks to address evolving changes in advertising and referral practices in the industry – particularly with respect to ...

November SEC Advertising Rule Compliance Date Fast Approaching

Notably, for purposes of the marketing rule, the new advertisement definition does not differentiate between retail and non-retail investor ...

SEC Adopts New Marketing Rule for Investment Advisers

The Final Rule made several significant changes to the November 2019 Proposal. ... A new flat prohibition on presenting gross performance data ...

The SEC's New Marketing Rule - Practically Speaking: Testimonials ...

In a change from the pre-November 2022 marketing rule, the new marketing rule allows RIAs to include testimonials and endorsements in ...

The New SEC Marketing Rule Covered by Copylab

The streamlined regulations are intended to reflect changes to the investment landscape, including the use of the internet and social media for ...

Navigating the marketing rule: Lessons from recent SEC ...

SEC's recent enforcement action ... On Sept. 11, the SEC announced charges filed against nine RIAs for marketing rule violations. One of many ...

New SEC Marketing Rule is Here: What Investment Advisors Need ...

We led off the conversation by polling attendees on their readiness for the new advertising rule. It was heartening that 22% said they were “ ...

SEC's New Marketing Rule for Investment Advisers Goes into Effect

The SEC effectively merged changes to the advertising and the cash solicitation rules into a single rule—referred to as the “Marketing Rule ...

Investment Management Update | Insights

SEC Adopts Amendments to Fund Names Rule · SEC Adopts Amendments to Beneficial Ownership Reporting Rules · SEC Charges Fintech Investment Adviser for ...

SEC Releases New Source of Guidance for Marketing Rule

The Marketing Rule prohibits investment advisors from disseminating inaccurate or misleading advertisements and marketing materials. This rule ...

RIA SEC Fines On The Rise in 2024 - Smartria

With the new marketing ruling came some major changes to how advisory firms are able to navigate the digital landscape and attract new clients ...

SEC Marketing Rule Changes: What the Experts Are Saying - Skience

SEC regulatory updates often lead to more behind-the-scenes work for advisory firms, but with proper planning and the right tech on your side, ...

The Marketing Rule Tops the SEC's Exam Priorities List For 2023

Two of the last four risk alerts sent out by the SEC concerned the new marketing rule. The updated rule, which went into effect in November, ...

Generative AI and the New SEC Marketing Rule - LinkedIn

But within this maelstrom of economic uncertainty, prime growth potential beckons as well. Two key developments—generative AI and the new SEC ...

SEC Adopts Final Private Fund Adviser Rules | White & Case LLP

... new rules applicable to advisers of private funds (the "Private Fund Adviser Rules").1 With these sweeping changes to the regulatory landscape ...