- SEC Adopts Modernized Marketing Rule for Investment Advisers🔍
- SEC Adopts New Marketing Rule FAQ🔍
- Reminder About SEC's New Marketing Rule for Investment Advisers🔍
- SEC Marketing Rule🔍
- Ongoing SEC Marketing Rule Enforcement Sweep Results in ...🔍
- 17 CFR § 275.206🔍
- Marketing Compliance Frequently Asked Questions🔍
- The SEC's Modernized Marketing Rule for Investment Advisers🔍
SEC Adopts New Investment Adviser Marketing Rule
SEC Adopts Modernized Marketing Rule for Investment Advisers
The Securities and Exchange Commission today announced it had finalized reforms under the Investment Advisers Act to modernize rules that govern ...
Final Rule: Investment Adviser Marketing - SEC.gov
These amendments reflect market developments and regulatory changes since the advertising rule's adoption in 1961 and the cash solicitation ...
The (New) Marketing Rule: Perspectives on RIA Compliance, One ...
Ultimately, the SEC Staff's position is that an adviser relying solely on the results of a survey or questionnaire – i.e., the rating itself – ...
SEC Adopts New Marketing Rule FAQ | Foley Hoag LLP
On February 6, 2024, the U.S. Securities and Exchange Commission (“SEC”) issued an updated FAQ for investment advisers relating to SEC Rule ...
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 ...
SEC Marketing Rule: A Simple Guide to Compliance - AssetMark
As an investment advisor, you have until the November 4, 2022 compliance date to adopt the necessary changes in how you promote your services.
Ongoing SEC Marketing Rule Enforcement Sweep Results in ...
On December 22, 2020, the SEC adopted a single Marketing Rule that replaced the previous advertising and cash solicitation rules under the ...
17 CFR § 275.206(4)-1 - Investment adviser marketing.
80b-6(4)), it is unlawful for any investment adviser registered or required to be registered under section 203 of the Act (15 U.S.C. 80b-3), directly or ...
Marketing Compliance Frequently Asked Questions - SEC.gov
Q: The marketing rule prohibits an adviser from displaying performance results in an advertisement, unless certain requirements are satisfied.
The SEC's Modernized Marketing Rule for Investment Advisers
On 22 December 2020, the U.S. Securities and Exchange Commission (SEC) adopted amendments (the final rule) to Rule 206(4)-1 under the ...
SEC Adopts Revised Investment Adviser Marketing Rule
On December 22, 2020, the Securities and Exchange Commission (the “SEC”) adopted amendments to modernize and consolidate Rule 206(4)-1 ...
Examinations Focused on the New Investment Adviser Marketing Rule
On December 22, 2020, the SEC adopted significant reforms under the Investment Advisers Act of 1940 to modernize rules that govern investment ...
SEC's New Marketing Rule for Investment Advisers Goes into Effect
The SEC effectively merged changes to the advertising and the cash solicitation rules into a single rule—referred to as the “Marketing Rule ...
SEC Adopts Investment Adviser Marketing Rule to Update Its ...
advisory services with regard to securities to prospective clients or private fund investors, or (b) offers new investment advisory services ...
SEC Adopts New Marketing Rule for Investment Advisers | ACA Group
The new rule, which is referred to as the “Marketing Rule,” was approved on December 22, 2020, and is intended to modernize the framework for investment ...
SEC Issues Risk Alert on New Investment Adviser Marketing Rule
The SEC staff will review whether RIAs have adopted and implemented written policies and procedures that are reasonably designed to prevent violations by the ...
SEC Unanimously Approves New Investment Adviser Marketing Rule
The Marketing Rule adopts seven general prohibitions of certain marketing practices in an effort to prevent fraudulent, deceptive, or manipulative acts.
SEC Adopts New Investment Adviser Marketing Rule
The Marketing Rule, which applies to SEC-registered investment advisers (“advisers”), is designed to modernize the requirements governing adviser advertising ...
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 ...
SEC Adopts New Investment Adviser Marketing Rule - Sidley Austin
SEC Adopts New Investment Adviser Marketing Rule ... On December 22, 2020, the Securities and Exchange Commission adopted amendments to modernize ...