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SEC Marketing Rule FAQ's Unexpected Impact On Investment Performance Presentations - Financial Services

On January 11, the staff of the SEC's Division of Investment Management (the "Staff") released new guidance with respect to the current version of Rule 206(4)-1, ...
Investment Management Advisers Act Marketing Rule Performance Requirement Individual Investment Sec Marketing Rule Faqs Unexpected Impact On Investment Performance Presentations
Source: mondaq.com

SEC Staff Issues Important New Guidance on Presentation of Investment-Level Performance Under the Marketing Rule | Goodwin

On January 11, 2023, the staff of the Division of Investment Management at the US Securities and Exchange Commission (“SEC Staff”) updated their Marketing Rule FAQs. A new FAQ appears...
Exchange Commission Division Of Investment Management Investment Management Marketing Rule Investment Advisers Act Performance Requirement

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