United_States_Securities_and_Exchange_Commission

Deadline: November 4, 2022!

NEW SEC Marketing Rule

Will you be ready?

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 will impact nearly all investment advisors. Is your firm ready?

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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.

If you need more assistance, TSG can help. Complete the short form below to learn more.

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)