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On December 22, 2020, the U.S. Securities and Exchange Commission (SEC or Commission) adopted amendments to the rules that govern investment adviser advertisements and compensation to solicitors under the Investment Advisers Act of 1940. This is the first significant amendment to those rules in over 40 years. These changes were made in response to evolving technology and investor expectations.
The new marketing rule applies to all investment advisers registered, or required to be registered, with the SEC. While the new rule reflects what the SEC views as the current best practices in marketing, it may cause practice changes for many advisers.
Monday, January 25, 2021
On December 22, 2020, the U.S. Securities and Exchange Commission (SEC or Commission) adopted amendments to the rules that govern investment adviser advertisements and compensation to solicitors under the Investment Advisers Act of 1940. This is the first significant amendment to those rules in over 40 years. These changes were made in response to evolving technology and investor expectations.
The new marketing rule applies to all investment advisers registered, or required to be registered, with the SEC. While the new rule reflects what the SEC views as the current best practices in marketing, it may cause practice changes for many advisers.