SEC Adopts New Marketing Rule for Investment Advisors

SEC Issues Third Marketing Rule Risk Alert for Investment Advisers

The SEC's EXAMS division issued its third risk alert on the Marketing Rule, outlining common compliance issues and urging advisers to review ...

Investment Advisers Required to be in Full Compliance with New ...

The new Marketing Rule merges a number of changes to the existing advertising and cash solicitation rules into a single rule.

How the SEC's New Marketing Rule Affects Investment Advisors ...

On December 22, 2020, the Securities and Exchange Commission (“SEC”) announced new rules regarding advertising and marketing for investment ...

SEC Advertising and Marketing Risks as Part of the Marketing Rule

On December 22, 2020, the SEC adopted amendments under the Investment Advisers Act of 1940 (“Advisers Act”) that replaced previous advertising ...

White Paper: SEC Marketing Rule - The Wagner Law Group

The SEC also adopted amendments to Rule 204-2 under the Advisers Act (“books and records rule”) which requires investment advisers to make and ...

The SEC's New Marketing Rule: Key Takeaways for Advisers

The Rule expressly extends to communications with private fund investors, as opposed to just advisory clients. In a welcome deviation from the proposal, the SEC ...

SEC Enforces Violations of Amended Marketing Rule Against Five ...

On April 12, 2024, the SEC announced (here) that it settled charges against five registered investment advisers for violating the Amended Marketing Rule.

Staying compliant with the SEC's new Marketing Rule | Wipfli

Registered Investment Advisers need to comply with the new SEC Marketing Rule by Nov. 4, 2022. Learn more about RIA compliance.

SEC Settles with Five Investment Advisers for Marketing Rule ...

These actions speak to the SEC's continued enforcement of the Marketing Rule, including requirements regarding hypothetical performance, the ...

SEC marketing rule and GIPS: what advisers need to know | EY - US

The rule applies to any investment adviser (IA) registered or required to be registered with the SEC under section 203 of the Investment Advisers Act of 1940 ( ...

First SEC Enforcement Action Arising Out of the New Marketing Rule ...

Effective in 2022, the SEC adopted a new Marketing Rule for investment advisers to modernize the regulation of investment adviser advertising ...

Compliance Date Approaching for New Marketing Rule for ...

Review firm policies and procedures against the new SEC requirements. Investment advisers should adopt and implement written policies and ...

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

When the Marketing Rule was adopted on December 22, 2020, it represented a significant overhaul to the SEC's approach to regulating how Advisers ...

New Marketing Rule Under the Investment Advisers Act

On November 4, all registered investment advisers will be required to be in compliance with the US Securities and Exchange Commission's (SEC) new Marketing ...

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

The transition period for compliance with the new Marketing Rule is set to expire on November 4, 2022, at which time all registered investment ...

SEC's Amended Advertising Rules for Investment Advisers

The US Securities and Exchange Commission's (SEC) amended Marketing Rule became effective on May 4, 2021, kicking off the 18-month countdown to the November 4, ...

Understanding the SEC Marketing Rule for Financial Advisors

The second prong includes direct and indirect communications to existing clients or investors for the purpose of offering new investment ...

SEC Adopts Amendments to Modernize Internet Investment Adviser ...

On March 27, 2024, the Securities and Exchange Commission adopted amendments to modernize the rule for internet investment advisers relying ...

SEC Adopts Investment Adviser Marketing Rule - Seward & Kissel LLP

The Marketing Rule includes a new definition of “advertisement” that is more expansive than the current rule's definition, among other changes.

SEC Adopts Modernized Marketing Rule for Investment Advisers

Today, the Securities and Exchange Commission announced it had finalized reforms under the Investment Advisers Act to modernize rules that ...