Reminder: SEC Marketing Rule for investment advisors

by Paaris Kazmi | 2023-08-14 | Industry News | 0 comments

As a reminder, the Securities and Exchange Commission introduced regulations overseeing the advertising practices of investment advisors, mandating compliance by November 2022.

Firms must ensure they are compliant with the Marketing Rule by updating their marketing materials, contracts and policies and procedures. The guide below includes the fundamental points to remember.

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