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

The new Marketing Rule offers greater flexibility to advisors in designing their marketing activities while adding additional complexity and reporting.

The SEC's new marketing rule: Updates and the first enforcement ...

The SEC's first enforcement actions for a marketing rule violation ... The SEC alleged that a firm made misleading statements about its hypothetical performance ...

New SEC Marketing Rule explained - TalksOnLaw

The SEC regulates marketing material for investment advisors to protect investors and maintain the integrity of the financial markets. By doing so, they help ...

The SEC Marketing Rule 2024: A Comprehensive Guide - Hadrius

The SEC new marketing rule is key for investment advisors. It sets the rules for promoting their services, all to keep things clear and fair ...

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

For investment advisors registered with the Securities and Exchange Commission, the SEC's recent enforcement action involving the Modernized Marketing Rule, 206 ...

Navigating the SEC's Marketing Rule: Compliance Challenges and ...

In September 2024, the SEC brought charges against nine RIAs for violating the Marketing Rule, in part for disseminating advertisements they ...

The SEC's New Marketing Rule is Effective Now | Marcum LLP

The new marketing rule is another example of the SEC's demand for more transparency and standardization of information provided to existing ...

A deep dive into the SEC's new Marketing Rule

With the compliance date for the US Securities and Exchange Commission's (SEC's) new Marketing Rule being 4 November 2022, all advisory firms ...

The SEC's New Marketing Rule: All Change Please | ACA Group

New requirements for performance advertising, such as including both gross and net performance, designated performance time periods, definitions ...

What Changes To The SEC Marketing Rule Mean For Reputation ...

Enter the New Marketing Rule: it ratifies the Advertising and Cash Solicitation Rules from the Investment Advisor Act, allowing financial ...

Managing the New Marketing Rule - COMPLY

You must present net performance alongside gross performance. · The SEC mandates prescribed time periods for performance. · You must use caution ...

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

Recognizing how consumer purchasing decisions have changed, the new marketing rule allows testimonials and endorsements subject to certain ...

The (New) Marketing Rule: Perspectives on RIA Compliance, One ...

The new Marketing Rule represented a broad, sweeping change in how the SEC regulates RIA marketing activities.

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.

The SEC's New Marketing Rule Explained | Wealth Management

As part of the new Marketing Rule, the SEC will operate on a clean slate basis, withdrawing all of the arbitrary guidance that has been issued ...

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

Recognizing the “outdated and patchwork regime on which advisers have relied for decades,” the SEC passed the new rule to modernize the Act's ...

New Marketing Rule Now a Focus of SEC's 2023 Exam Priorities

Announcing a significant change to its 2023 examination priorities, the Securities and Exchange Commission's Division of Examinations ...

The Updated SEC Marketing Rule and How It's Changed Archiving ...

The new rule is intended to reflect the evolution in technology, communications, and how investment advisers promote and advertise their ...

New SEC Marketing Rule Creates Opportunities For Disruption

In 2021, the SEC changed its Marketing Rule for the first time since the 1960s. With the new regulation in place, financial advisors can use ...

SEC Marketing Rule Insights and Solutions - ACA Group

The new rule is intended to modernize the framework for investment adviser advertising and replace the patchwork of cases, no-action letters and SEC staff ...