Navigating the SEC's Marketing Rule

Use of Testimonials Under the New SEC Marketing Rule for ...

The SEC's new Marketing Rule compliance date was November 4, 2022. As part of the Marketing Rule, the SEC expanded advisers' ability to use ...

SEC risk alert warns investment advisers of marketing rule missteps

Examiners with the Securities and Exchange Commission found investment advisory firms have generally done well creating processes to comply ...

SEC Adopts New Marketing Rule for Investment Advisors

On December 22, 2020, the US Securities and Exchange Commission (SEC) adapted the rules that govern investment advisor advertisements and ...

SEC Rewrites Rules on Investment Adviser Marketing

Marketing Rule – Key Provisions ... New compliance requirements under corresponding amendments to Form ADV require advisers to provide additional ...

SEC focus remains on Marketing Rule - Bovill Newgate

We are nearing two years since the adoption of the SEC's long overdue update to rule 206(4)-1, or the Marketing Rule.

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

In December 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the ...

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 Updates Marketing Rule FAQ - Gibson Dunn

According to the SEC Staff, doing otherwise would violate the Marketing Rule's requirement that any presentation of Gross IRR must be ...

Regulation - Law Journal Newsletters

Navigating the SEC's Marketing Rule: Compliance Challenges and Legal Insights ... The Securities and Exchange Commission (SEC) has underscored the critical ...

Avoiding Social Media Advertising and Marketing Compliance ...

The SEC's Marketing Rule, which entered into force in November 2022, is the main rule that governs investment advisers' marketing ...

Establishing Compliance with the New SEC Marketing Rule

But most of all, the New Marketing Rule mandates that you show your firm's growth and net-of-fee performance to compliantly promote hypothetical ...

Navigating Substantiation of Facts, Testimonials and Performance ...

In the two years since the SEC adopted Rule 206(4)‑1 under the Investment Advisers Act of 1940 (Marketing Rule or Rule), its risk alerts, FAQs and ...

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 ...

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 ...

SEC Finds Advisers' Compliance with Marketing Rule Still Lacking ...

Rule 206(4)-1, as amended (the Marketing Rule), continues to be an area of focus for the U.S. Securities and Exchange Commission (SEC).

Navigating the Regulatory Landscape for Investment Advisers

While new or updated rules like the marketing rule are critical to ... SEC regulations and continue meeting your fiduciary obligations to clients.

SEC Staff Issues Observations on Adviser Marketing Rule ...

Observations Regarding Compliance Rule, Recordkeeping Rule and Form ADV · Consisted only of general descriptions of the Marketing Rule that were ...

The 8 Step Guide to Navigating The New Marketing Rule

The most common question we receive from advisors about the new SEC marketing rule is, “How do I get started? Our step-by-step playbook will arm you with ...

SEC Marketing Rule FAQ's Unexpected Impact on Investment ...

Given the fact that the compliance deadline for the new Marketing Rule was November 4, 2022, investment advisers and fund sponsors should waste ...

AI, Advertising, and Advisory: Navigating the SEC Marketing Rule ...

Stream AI, Advertising, and Advisory: Navigating the SEC Marketing Rule Minefield by FTF Exchange Podcast on desktop and mobile.