The SEC's Modernized Marketing Rule for Investment Advisers

SEC Adopts Modernized Marketing Rule for Investment Advisers

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

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 ...

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 ...

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 ...

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.

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

17 CFR § 275.206(4)-1 - Investment adviser marketing. · General prohibitions. · Include any untrue statement of a material fact, or omit to state a material fact ...

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 ...

Top Ten List for Complying with the SEC's New Investment Adviser ...

Significantly, the Marketing Rule modernized the advertising and solicitation rules applicable to advisers that had somewhat developed through ...

SEC Issues Third Marketing Rule Risk Alert for Investment Advisers

The SEC's EXAMS division issued its third risk alert on the Marketing Rule, outlining common compliance issues and urging advisers to review ...

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 ...

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.

What the SEC Modernized Marketing Rule Means for RIAs

Depending on the investment adviser's size and extent of advertising efforts, the adviser could establish a manual review process, such as ...

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

» The Marketing Rule generally prohibits advisers from paying any person for a testimonial or endorsement if that person has been subject to ...

New SEC Marketing Rule explained - TalksOnLaw

The SEC's new rule is intended to require investment advisors to present more accurate, transparent, and balanced information so as to help potential investors ...

SEC Risk Alert Spells Out the Agency's Expectations for Investment ...

When the Marketing Rule was adopted on December 22, 2020, it represented a significant overhaul to the SEC's approach to regulating how Advisers ...

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 ...

SEC Adopts Modernized Marketing Rule for Investment Advisers

The SEC recently approved reforms under the Investment Advisers Act to modernize rules that govern investment adviser advertisements and payments to.

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 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 ...