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New Marketing Rule Under The Investment Advisers Act - Compliance Date Is Approaching - Securities

On November 4, all registered investment advisers will be required to be in compliance with the U.S. Securities and Exchange Commission's (SEC) new Marketing Rule,[1] promulgated under the Investment Advisers Act of 1940. ....

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SEC Risk Alert: EXAMS To Focus On New Advisers Act Marketing Rule - Securities

On September 19, 2022, the Division of Examinations ("EXAMS") of the Securities and Exchange Commission ("SEC") released a Risk Alert ("Risk Alert")[1] relating to the new investment adviser. ....

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Marketing Rule Implementation – Are You Ready for November 4th? | Morrison & Foerster LLP

The compliance date for the SEC’s new investment adviser Marketing Rule is November 4, 2022, allowing just over a month for an investment adviser to finalize its implementation process. ....

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Marketing Rule Implementation – Are You Ready For November 4th? - Securities

The Marketing Rule changes the regulatory approach to investment adviser marketing practices in several key ways. ....

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The New Adviser Marketing Rule: Division of Examinations Alert | Dorsey & Whitney LLP

The Division of Examinations issued a Risk Alert on September 19, 2022 focused on Advisers Act Rule 206(4)-1, the Advertising Rule, adopted on December 22, 2020. The Rule becomes. ....

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