Web8 Mar 2024 · The SEC has a balancing act. It can modernize the Advertising Rule to reflect a changed business world and the advancements in technology, possibly giving advisers more freedom and giving... Web5 Jan 2024 · Just before we said goodbye to 2024, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended (Advisers Act). The SEC proposed the amendments back in November 2024, kicking off more than a year of significant industry …
The New Framework for Investment Adviser Marketing - Baker …
Web15 Jun 2024 · While the Securities and Exchange Commission’s advertising and marketing rule has been in effect since early May, compliance experts are cautioning advisors to … Web3 Feb 2024 · While it may be true that some states effectively defer their advertising rules to the SEC (e.g., by a direct cross-reference to Rule 206(4)-1), and/or may update their state-level marketing rules to conform with the SEC’s new marketing rule, it’s important for state RIAs to query how the state(s) in which they are registered will interpret ... cg security fundamentals quizlet
SEC’s New Marketing Rule – Session 1 – Advertising
Web28 Apr 2024 · The marketing rule is designed to comprehensively and efficiently regulate advisers’ marketing communications. The Commission also adopted related amendments … Web27 Jan 2024 · 5. We are sending a presentation to the three co-trustees of a trust. The trust would be the sole investor. Our presentation has no hypothetical performance information. Would it be treated as advertising or subject to the one-on-one exclusion from the advertising definition? The SEC looks at the “one” at the entity level. Web17 Feb 2024 · The date for compliance with the Marketing Rule is November 4, 2024 – by which time registered investment advisers must adopt and implement new policies and procedures, and build the operational and supervisory systems necessary for compliance. cgs elearning