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THE SEC’S NEW MARKETING RULE: KEY TAKEAWAYS FOR ADVISERS

THE SEC’S NEW MARKETING RULE: KEY TAKEAWAYS FOR ADVISERS

Pages 27 Pages

The SEC's new Marketing Rule, effective from 2022, merges previous advertising and solicitation regulations into a single framework, requiring investment advisers to reassess their marketing practices to ensure compliance. The rule expands the definition of advertisements, including endorsements and testimonials, and introduces stricter guidelines on performance advertising, hypothetical performance, and recordkeeping. This shift emphasizes the importance of transparency and accuracy, directly impacting Marketing ROI by ensuring that all promotional activities meet regulatory standards and avoid penalties.

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