SEC Marketing Rule: What You Need to Know

May 10, 2022 by Rita Raagas De Ramos

Registered investment advisor firms have until November 4 to fully comply with the Securities and Exchange Commission’s new marketing rule.

The “Marketing Rule” is part of the Investment Advisers Act of 1940. It overhauls and modernizes the SEC’s “Advertising Rule” and “Cash Solicitation Rule” and creates a single rule, according to the Wagner Law Group.

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Originally Posted at Financial Advisor IQ on May 9, 2022 by Rita Raagas De Ramos.