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Complying With The New SEC Marketing Rule: Seven Months In And Still Adapting - Securities

On November 4, 2022, compliance with amended Rule 206(4)-1 (the "Marketing Rule") became mandatory for all investment advisers registered with the Securities and Exchange Commission (the "SEC").

Exchange commissionAdvisers actMarketing rulePlacement agentsEarly focusTop ten regulatoryLitigation risksPrivate fundsInvestment advisersNew marketingNet performance requirementsProskauer alertRisk alert announcing exams focused

What is the SEC Marketing Rule for Investment Advisors?

Securities and Exchange Commission SEC compliance with amended Rule 206 Marketing Rule became mandatory for all investment advisers registered with the Securities and Exchange Commission

Dorothy murrayJulia alonzoMassimob capizziJuliam ansanelliToddj ohlmsJoshuam newvilleReutn samuelsTimothyw mungovanCharles bishopHenam voraRobert suttonJonathanm weissMichael singhSeetha ramachandranMichaelr hackettWilliamd dalsen

Complying with the New SEC Marketing Rule: Seven Months in and Still Adapting | Proskauer - The Capital Commitment

On November 4, 2022, compliance with amended Rule 206(4)-1 (the “Marketing Rule”) became mandatory for all investment advisers registered with the Securities and Exchange Commission.

Exchange commissionMarketing ruleAdvisers actPlacement agentsEarly focusRegistered investment advisersNew marketing ruleNet performance requirementsProskauer alertRisk alert announcing exams focusedNew marketing

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