THE SEC MARKETING RULE

Press Release: SEC Adopts Modernized Marketing Rule for Investment Advisers

SEC Marketing Rule: Adopting Release (PDF)

SEC Marketing Rule: Federal Register

SEC Marketing Compliance FAQs

Investment Adviser Marketing: Small Entity Compliance Guide

SEC MARKETING RULE RISK ALERTS

Risk Alert: Initial Observations Regarding Advisers Act Marketing Rule Compliance (April 17, 2024)

Risk Alert:  Examinations Focused on Additional Areas of the Adviser Marketing Rule (June 8, 2023)

Risk Alert: Examinations Focused on the New Investment Adviser Marketing Rule (September 19, 2022)

RESOURCES FROM COMPLIANCE FIRMS & MARKETING VENDORS

Advertising With Testimonials And Endorsements Under The New SEC Marketing Rule (Chris Stanley, Beach Street Legal)

What Registered Investment Advisors Must Know About the New SEC Modernized Marketing Rules (Leila Shaver, My RIA Lawyer)

Leveraging Technology to Address the New SEC Marketing Rule (Adam Schaub, RegEd)

Paid Solicitation Under The SEC Marketing Rule: Using Third-Parties For Lead Generation And Prospecting (Chris Stanley, Beach Street Legal)

Performance Advertising Guidelines For Investment Advisers Under the SEC’s New Marketing Rule (Chris Stanley, Beach Street Legal)

Advisor Innovations Podcast: Max Schatzow on The SEC’s New Rules for Advisor Marketing In 2022 (Max Schatzow, RIA Lawyers)

Client Testimonials: Leveraging The New SEC-Acceptable Marketing Practices To Connect With New And Existing Clients (Lauren Hong, Out & About Communications)

The SEC Marketing Rule: What you need to know (Mark Roszak, Saifr)

SEC MARKETING RULE IN THE NEWS

Five firms hit in SEC marketing rule sweep (InvestmentNews, April 12, 2024)

The SEC Marketing Rule Sweep Has Begun (ThinkAdvisor, March 25, 2024)

Kitces Podcast Sparks Debate on Google Reviews (WealthManagement, February 5, 2024)

Ensuring video testimonials comply with SEC’s marketing rule (InvestmentNews, January 10, 2024)

Advisor Reviews: Don’t Get Left Behind (WealthManagement, July 6, 2023)

SEC Reiterates Warnings on Marketing Rule (WealthManagement, June 9, 2023)

Wealthtender Aims to Change Advisor Wariness of Testimonials (RIA Intel, January 11, 2023)

With marketing rule in effect, firms share best practices for testimonials (Citywire, November 4, 2022)

New SEC marketing rule offers opportunities, compliance challenges (Compliance Week, September 28, 2021)