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Marketing Rule Alert.pdf

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Preview of Marketing Rule Alert
🔗 Source: sec.gov
📊 Size: 261 KB
📄 Pages: 4 pages
⬇️ Downloads: 139

Summary

The SEC's Division of Examinations will review investment advisers' compliance with the new Marketing Rule, focusing on areas such as marketing rule policies and procedures, substantiation requirement, performance advertising requirements, and books and records. The rule, which replaced previous advertising and cash solicitation rules, prohibits certain practices such as including material statements of fact without a reasonable basis for believing they can be substantiated, and requires advisers to maintain certain records, including those related to advertisements and performance results. The compliance date for the Marketing Rule is November 4, 2022.

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Description

The SEC's Division of Examinations will review investment advisers' compliance with the new Marketing Rule, focusing on areas such as marketing rule policies...

Technical Information

  • File Format: PDF
  • File Size: 261 KB
  • Pages: 4
  • Language: EN
  • Total Downloads: 139
  • Last Updated: 2 months ago

Document Overview

This PDF document about Marketing Rule Alert provides comprehensive information and guidance. Whether you're a beginner or advanced user, this resource offers valuable insights into Marketing Rule Alert.

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