The SEC's New Marketing Rule is Effective Now

The SEC's New Marketing Rule is Effective Now – What It means for ...

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 ...

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

What rules did the new SEC Marketing Rule replace? · The use of testimonials concerning the adviser or any advice, analysis, report, or other service rendered by ...

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.

The SEC's new Marketing Rule is now in effect. Let us help! - COMPLY

The Securities and Exchange Commission's (SEC) new marketing rule for registered investment advisers (RIAs), including private funds, went into effect on Nov. 4 ...

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 ...

Are you in compliance with the SEC's new marketing rule?

Contact Us Today! Effective May 4, 2021, the SEC's new marketing rule for investment advisers, 17 CFR § 275.206(4)-1, made significant changes to the way SEC ...

SEC Adopts Modernized Marketing Rule for Investment Advisers

The amendments create a single rule that replaces the current advertising and cash solicitation rules. The final rule is designed to ...

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.

SEC marketing rule and GIPS: what advisers need to know | EY - US

The new rule aims to remove the patchwork of marketing and advertising regulations and incorporates previous “no action letters” that many firms relied on.

Modernized Registered Investment Adviser Marketing Rule - COMPLY

Special Note: The new SEC RIA Marketing Rule was officially published in the Federal Register on March 5, 2021. The rule is now scheduled to become effective on ...

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 ...

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

For an endorsement or testimonial, the New Marketing Rule requires extensive disclosures regarding any cash or noncash compensation or conflicts ...

The SEC's New Marketing Rule: Key Takeaways for Advisers

Advertising Rule, effectively creating a single “Marketing Rule” in Rule 206(4)-1 (the Rule). The changes are very significant and will require all ...

The SEC's New Marketing Rule Explained | Wealth Management

Importantly, advertisements now are defined by the messaging that they contain, as opposed to the avenue through which they're conveyed, ...

Navigating the SEC's Updated RIA Marketing Rule - BizEquity

With the introduction of the SEC's new marketing rule, financial advisors can now leverage testimonials, endorsements and third-party ratings in their ...

What the SEC Marketing Rule Means for You

The old solicitation and advertising rules are now replaced by a single new marketing rule. · Registered investment advisers must make sure that ...

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 New Marketing Rule: Key Takeaways

Since the previous rules were issued prior to the advent of the internet and other technological advancements, the new modernized rule ...

The SEC's Modernized Marketing Rule for Investment Advisers

Along with the Marketing Rule, the SEC adopted amendments that add a new subsection L entitled “Marketing Activities” to Item 5 of Part 1A of ...

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.