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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 “Current Rule”) and Rule 206(4)-3, the Cash Solicitation Rule. Although all advisers are still held to rigid anti-fraud standards under Section 206 of the Advisers Act, the New Rule provides more specific guidance on the definition of advertisement and replaces the current hodge-podge of no-action letters and other guidance. The New Rule became effective May 4, 2021, and advisers have until

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