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Have Questions About the SEC Marketing Rule?

On December 22, 2020, The Securities and Exchange Commission (SEC) announced the finalized reforms under the Investment Advisers Act modernizing the rules governing investment adviser advertisements and payments to solicitors. A single rule has been created, replacing the current advertising and cash solicitation rules. The new SEC marketing rule regulates marketing communications by investment advisers.

This impacts nearly all investment advisors and as of November 4, 2022, all investment advisers that are registered or required to be registered with the US Securities and Exchange Commission must be in full compliance with the SEC’s new rule.

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TSG can help!

Below are a series of webinars, an FAQ document as well as a venn diagram to help you understand the new rule, its impact, and how to prepare.

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The New SEC Marketing Rule

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Resources

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Frequently Asked Questions: New SEC Marketing Rule

A Review of the New SEC Marketing Rules
(An Article by David Spaulding, DPS, CIPM)

Q&A with Morgan, Bockius & Lewis
(Webcast)

New SEC Marketing Rule and GIPS Advertising Standards: Update and Review

How will the SEC’s New Advertising Rule Affect Your Business
(a webinar with K&L Gates)

SEC – Investment Adviser Marketing – Final Rule

Who Owns Your Investment Performance?

(An Article on WealthManagement.com with David Spaulding, DPS, CIPM)