The Bottom Line of Complying with the SEC's Q New Marketing Rule
In the late fall of 2020, the SEC implemented rule amendments which created a single rule, the Marketing Rule, that replaces the current Advertising…
Source: lexology.com
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Q&A: The Bottom Line of Complying with the SEC's New Marketing Rule | Proskauer Rose LLP
In the late fall of 2020, the SEC implemented rule amendments which created a single rule, the Marketing Rule, that replaces the current Advertising and Cash Solicitation Rules. The...
Source: jdsupra.com
The SEC's New Marketing Rule Explained
Some tips regarding the SEC's new advertising and marketing ule to help advisors stay compliant and avoid big fines.
Source: wealthmanagement.com
SEC Withdraws No-Action Letters Related to Marketing Rule; Risk Alert Highlights Findings from Investment Company Examinations; Regulatory Update for December 2021 | Foreside
For Investment Advisors - SEC Withdraws Several No-Action Letters Related to Marketing Rule. On December 22, 2020, the SEC adopted amended Rule 206(4)-1 under the...
Source: jdsupra.com
The New Marketing Rule and the Seven Prohibitions: Sneaky, Sloppy, Tricky, Shifty, Iffy, Flimsy, and Dicey | Hardin Compliance Consulting LLC
To embed, copy and paste the code into your website or blog: Analyzing the SEC’s new Marketing Rule (Rule 206(4)-1, or the “New Rule”) is a monumental task, so I am breaking it down into a series of six blog posts. This first post focuses on the new definition of advertisements and the seven principles-based prohibitions. Later blog posts will cover testimonials and endorsements, third-party ratings, performance advertising, portability of performance and the rule’s administrative requirements. The SEC adopted amended Rule 206(4)-1, replacing Rule 206(4)-1, the Advertising Rule (the ...
Source: jdsupra.com