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Top Ten List For Complying With The SEC's New Investment Adviser Marketing Rule - Securities - Vimarsana News

Top Ten List For Complying With The SEC's New Investment Adviser Marketing Rule - Securities

Published: November 9, 2022

On November 4, 2022, amendments to Rule 206(4)-1 of the Investment Advisers Act of 1940 by the U.S. Securities and Exchange Commission (SEC) formally went into effect to implement the SEC's new marketing rule (Marketing Rule) for registered investment advisers of all types.

Source: mondaq.com

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Top Ten List for Complying with the SEC's New Investment Adviser Marketing Rule | BakerHostetler

Published: November 4, 2022

The Marketing Rule seeks to address evolving changes in advertising and referral practices in the industry – particularly with respect to the use of the Internet, mobile applications,...

Source: jdsupra.com

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Exchange Commission Division Of Examinations Party Ratings Are Permitted Investment Advisers Act Marketing Rule One Communication Exclusion May Be Liable Based Prohibitions Apply Endorsements Are Permitted Procedures Are Essential Required Books Regulation Best Interest