The SEC's Modernized Marketing Rule

SEC Adopts Modernized Marketing Rule for Investment Advisers

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

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

The Marketing Rule amended the prior rule to also require advisers to maintain accounts, books, internal working papers, and other documents ...

The SEC's Modernized Marketing Rule for Investment Advisers

The SEC elected to replace the current versions of Rule 206(4)-1 (the advertising rule) and Rule 206(4)-3 (the solicitation rule) with a single “Marketing Rule ...

SEC Marketing Rule: A Simple Guide to Compliance - AssetMark

The new marketing rule from the SEC permits advisors to solicit reviews from their top clients. Additionally, advisors can use these ...

The SEC's New Marketing Rule - Practically Speaking: What Is an ...

An advertisement under the rule is a communication that meets either of two tests (referred to as two “prongs” of the rule).

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.

Reminder About SEC's New Marketing Rule for Investment Advisers

The SEC adopted new rules in late 2020 (the “Marketing Rules”) that govern investment adviser advertising and use of solicitors/placement agents.

Modernized Marketing Rule

The new Marketing Rule is written with a principle-based approach to compliance, replacing the current Advertising Rule's “broadly drawn limitations”.

Ongoing SEC Marketing Rule Enforcement Sweep Results in ...

The Marketing Rule became effective on May 4, 2021, with a compliance date of November 4, 2022. Advertisements disseminated on or after the ...

Understanding the New SEC Marketing Rule - YouTube

The SEC regulates marketing material for investment advisors to protect investors and maintain the integrity of the financial markets.

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

As a means reasonably designed to prevent fraudulent, deceptive, or manipulative acts, practices, or courses of business within the meaning of section ...

The SEC's Marketing Rule: Open Issues and Looming Sweep Exams

The Rule's general prohibitions require advisers to have a reasonable basis for believing that they will be able to substantiate all material ...

New SEC Marketing Rule explained - TalksOnLaw

In a notable move, the U.S. Securities and Exchange Commission (SEC) implemented a new marketing rule on November 4, 2022, revamping regulations surrounding ...

What the SEC Modernized Marketing Rule Means for RIAs

The SEC Modernized Marketing Rule is robust and nuanced, creating special considerations, disclosures, and other obligations for a variety of compliance areas.

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 Adopts Modernized Marketing Rule for Investment Advisers

In a December 22, 2020 release, the SEC adopted amendments to create a single rule that will replace the current advertising and cash ...

SEC Adopts Modernized Marketing Rule for Investment Advisers

The amendments create a single rule that replaces the current advertising and cash solicitation rules, as well as a body of no-action letters ...

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 ...

Investment Adviser Marketing - Federal Register

The advertising rule was designed to address the potential harm to investors from misleading advertisements. Advisers also attract investors by ...

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

The SEC created a single marketing rule that modernizes the rules that governed investment adviser advertisements and compensation to ...