Web10 Feb 2024 · The guidance addresses a question on which there had been a diversity of views, and represents the SEC Staff’s first addition to its Marketing Rule FAQs since the Marketing Rule’s November 4, 2024 compliance date. 2 For an in-depth analysis of the obligations imposed on RIAs by the Marketing Rule, please refer to the King & Spalding … Web18 Oct 2024 · The Securities and Exchange Commission's (SEC's) new Marketing Rule comes into force on November 4, 2024, but advisers continue to be confused about the …
New SEC marketing rules for registered investment advisers
WebSEC Marketing Rule FAQs Version: September 2024 Page 2 of 4 Exports with performance data will notate the vehicle type and track record (gross/net) used to produce the analysis. … Web11 Jan 2024 · The FAQs, like all staff guidance, have no legal force or effect: they do not alter or amend applicable law, and they create no new or additional obligations for any person. The adopting release for the amendments to rule 206(4)-1 is available at … We would like to show you a description here but the site won’t allow us. With certain exceptions, this Act requires that firms or sole practitioners … A Staff Statement is not a rule, regulation or statement of the Commission, and the … lavolta tahiti
Examinations Focused on the New Investment Adviser …
Web4 Mar 2024 · November 4, 2024 — the U.S. Securities and Exchange Commission’s (SEC’s) new Marketing Rule compliance deadline — is closer than you think. Is your firm preparing … WebThe U.S. Securities and Exchange Commission’s long-awaited Marketing Rule is here and the final compliance date coming up in November 2024. The Marketing Rule is set to make a significant impact to the way that SEC-registered investment advisers market their services and investment advisers should not underestimate the changes that will be … Web31 Oct 2024 · Overview. In a change from the pre-November 2024 marketing rule, the new marketing rule allows RIAs to include testimonials and endorsements in advertisements so long as certain requirements are met. The new rule defines a testimonial as: [a]ny statement by a current client or investor in a private fund advised by the investment adviser: (i ... lavollee