New 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 and takes effect on November 4, 2022.  Here are a selection of tools to help you prepare.  As always, we are available to provide guidance and support as needed.

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