New Investment Adviser Marketing Rules Take Effect May 4

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

On February 7, 2023, the SEC highlighted the Marketing Rule as an exam priority for 2023. See 2023 Examination Priorities. And then on June 8, ...

Modernized Registered Investment Adviser Marketing Rule - COMPLY

The rule is now scheduled to become effective on May 4, 2021 and has a compliance deadline of November 4, 2022. In this post, we take a closer look at the ...

Marketing Compliance Frequently Asked Questions - SEC.gov

An adviser may choose to comply with the amended marketing rule in its entirety any time starting on the effective date, May 4th, 2021.

SEC "Modernizes" Investment Adviser Advertising and Paid ...

The New Marketing Rule was formally adopted on December 22, 2020, and became effective on May 4, 2021. An 18-month transition period followed, ...

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

Investment advisers will have an 18-month transition period—until November 4, 2022—to comply with the Marketing Rule and the amended books and ...

Reminder About SEC's New Marketing Rule for Investment Advisers

As a reminder, the U.S. Securities and Exchange Commission (the “SEC”) adopted new rules in late 2020 (the “Marketing Rules”) that govern ...

17 CFR § 275.206(4)-1 - Investment adviser marketing.

An investment adviser may not compensate a person, directly or indirectly, for a testimonial or endorsement if the adviser knows, or in the exercise of ...

Investment Adviser Marketing - Federal Register

The marketing rule amends existing rule 206(4)-1 (the “advertising rule”), which we adopted ( print page 13025) in 1961 to target advertising ...

SEC Adopts Modernized Marketing Rule for Investment Advisers

The final rule is designed to comprehensively and efficiently regulate investment advisers' marketing communications. In the decades since the ...

Performance Advertising Under the SEC's Marketing Rule - Kitces.com

Though the Marketing Rule became effective on May 4, 2021, full compliance – including the performance advertising provisions – is required ...

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 ...

New Investment Adviser Marketing Rules Take Effect May 4, 2021

The new Rule replaces the currently separate advertising and cash solicitation rules and will take effect May 4, 2021. Investment advisers ...

The SEC's Modernized Marketing Rule for Investment Advisers

The Marketing Rule takes effect 60 days after publication in the Federal Register.2 Investment advisers subject to the rule may transition their ...

Marketing Rule for Registered Investment Advisers Becomes ...

4, 2022. The Marketing Rule governs investment adviser advertising and related activities. The SEC adopted the Marketing Rule in December 2020 ...

New SEC Marketing Rule Will Have A Material Effect On The ...

The Marketing Rule, effective May 4, 2021 (but as to which investment advisers have until November 4, 2022 to comply), repeals both the prior ...

The SEC Marketing Rule: What you need to know - Saifr

The Marketing Rule became effective on May 4, 2021, but provided an 18-month transition period for advisers to comply, with a final compliance date of November ...

The New Investment Adviser Marketing Rule: Everything You Need ...

As a result of these amendments, as of May 4, 2021, there will be a single rule—new Rule 206(4)-1—which more comprehensively addresses requirements and ...

Modernized Marketing Rule for Investment Advisers Takes Effect on ...

Regulators revised their proposed changes based on public comments before announcing the final rule a year later. When the SEC announced the new ...

The New SEC Marketing Rule and Implications for Social Media

The formerly separated rules are now combined under the new Marketing Rule, Rule 206(4)-1 of the Advisers Act, made effective May 4, 2021, with ...

SEC Issues Risk Alert on New Investment Adviser Marketing Rule

As of the Compliance Date, RIAs may no longer choose to comply with the previous advertising and cash solicitation rules. In addition, as of the Compliance Date ...