The SEC's Modernized Marketing Rule

Advertising Regulation: Understanding and Preparing for the SEC's ...

On Tuesday, Dec. 22, 2020, the Securities and Exchange Commission (SEC) announced it had finalized reforms to modernize rules that govern investment adviser ...

New SEC Marketing Rule for Investment Advisers

The Rule will not become effective for at least 60 days, at which time advisers will have 18 months to transition to full compliance.

SEC Modernized Marketing Rule - What Asset Mgrs. Should Know

New reporting rules from the SEC that will immediately impact many asset managers have finally gone into effect. The modernized SEC marketing rule, which ...

SEC Marketing Rule and the GIPS Standards | A Reference Guide

After 60 years, the SEC has published a modernized and consolidated regulatory update in a single rule that redefines advertising. The amendments create a ...

SEC Modernizes Marketing Rule for Investment Advisers

The amended definition of “advertisement” contains two prongs, the first of which targets communications previously covered by the advertising ...

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

The new marketing rule establishes seven principles-based general prohibitions for all advertisements disseminated by RIAs.

The SEC's modernized marketing rule: implementation and ... - ACC

The SEC's modernized marketing rule: implementation and challenges of the revised requirements ... Late last year the U.S. Securities and Exchange Commission ...

A Big Picture Overview of the SEC's New Investment Adviser ...

The SEC has also made clear that it will focus on the requirements of the new marketing rule in upcoming compliance examinations of advisers; ...

SEC Adopts Modernized Marketing Rule for Investment Advisers

The rule replaces the current advertising rule's broadly drawn limitations with principles-based provisions designed to accommodate the continual evolution and ...

SEC's New Marketing Rule - Session 1 - Advertising

Advertisements that include third-party ratings will be required to include specific disclosures to prevent them from being misleading. The rule also will ...

What's 'New' about the SEC's New Marketing Rule for Investment ...

The general theme of the rule is that marketing must be “fair and balanced”. How to comply is rather vague as the updated rule is principals- ...

SEC New Marketing Rule: How to Ensure Advertising and ...

The New Marketing Rule has resulted in important amendments, specifically that financial advisers must make and keep records of all “advertisements” they ...

SEC Modernizes Decades-Old Investor Marketing Rules to Address ...

The Securities and Exchange Commission (“SEC”) adopted a new investor marketing rule to replace and modernize its current advertising and ...

The SEC's New Marketing Rule: How to Stay Compliant And Avoid ...

This article will delve into how and why it has come into practice, the changes that have been made, and the subsequent steps that must be taken by RIA ...

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.

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, ...

SEC Adopts Investment Adviser Marketing Rule to Update Its ...

SEC Adopts Modernized Marketing Rule for Investment Advisers, SEC Press Release No. 2020-334 (Dec. 22, 2020) (“SEC Press Release”),.

SEC Adopts New Marketing Rule for Investment Advisers

The new rule permits the use of testimonials and endorsements in advertisements subject to certain conditions, which vary depending on whether ...

Regulatory Update: SEC Makes Dramatic Changes in Advertising ...

On 12/22/20, the SEC adopted a modernized Marketing Rule, which will govern advertisements by RIAs and payments to solicitors.

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 ...