SEC Marketing Rule Quick Links
Links to Official SEC Resources
THE SEC MARKETING RULE (SEC Press Releases, FAQs, etc.)
Press Release: SEC Charges Nine Investment Advisers in Ongoing Sweep into Marketing Rule Violations (September 9, 2024)
Press Release: SEC Charges Five Investment Advisers for Marketing Rule Violations (April 12, 2024)
Press Release: SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers (September 11, 2023)
Press Release: SEC Adopts Modernized Marketing Rule for Investment Advisers (December 22, 2020)
SEC Marketing Rule: Adopting Release (PDF)
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)
Links to Industry Resources
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
RIAs to Pay $1.2M To Settle SEC Marketing Rule Violations (WealthManagement, September 9, 2024)
SEC fines nine RIAs for alleged marketing rule violations (Citywire, September 9, 2024)
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)