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Top Ten List For Complying With The SEC's New Investment Adviser Marketing Rule - Securities

On November 4, 2022, amendments to Rule 206(4)-1 of the Investment Advisers Act of 1940 by the U.S. Securities and Exchange Commission (SEC) formally went into effect to implement the SEC's new marketing rule (Marketing Rule) for registered investment advisers of all types. ....

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Top Ten List for Complying with the SEC's New Investment Adviser Marketing Rule | BakerHostetler

The Marketing Rule seeks to address evolving changes in advertising and referral practices in the industry – particularly with respect to the use of the Internet, mobile applications,. ....

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