Tag Archives: SEC Rule 206(4)

Testimonials and Endorsements – Impact of the New RIA Marketing Rule

As noted in our earlier articles, the Securities and Exchange Commission (“SEC”) adopted reforms under the Investment Advisers Act of 1940 (“Act”) to modernize rules that govern investment adviser advertisements and payments to solicitors (collectively the “Rule”).  In those articles we discussed the Rule from a 50,000-foot level, and  then we drilled down into the … Continue reading Testimonials and Endorsements – Impact of the New RIA Marketing Rule

Overview of Advertising – Impact of the New RIA Marketing Rule

As previously noted, the Securities and Exchange Commission (“SEC”) adopted reforms under the Investment Advisers Act of 1940 (“Act”) to modernize rules that govern investment adviser advertisements and payments to solicitors (collectively the “Marketing Rule”).   It is the intent of the SEC to provide a rule with principles-based provisions, designed to accommodate the continual evolution … Continue reading Overview of Advertising – Impact of the New RIA Marketing Rule

SEC Adopts New RIA Marketing Rule

On December 22, 2020, the Securities and Exchange Commission (“SEC”) finalized reforms under the Investment Advisers Act of 1940 (“Act”) to modernize rules that govern investment adviser advertisements and payments to solicitors (the “Marketing Rule”).  The SEC reflected, in its 430-page release, that the amendments are intended to create a single rule that replaces the … Continue reading SEC Adopts New RIA Marketing Rule