Web18 okt. 2024 · The new SEC marketing rules reflect the realities of how integrated digital marketing strategies allow us to engage with consumers. The SEC finalized the rules on December 4, 2024, but they provided a compliance grace period for advisors. The SEC begins fully enforcing these new standards on November 4, 2024. Web14 mei 2024 · Notably, the Marketing Rule now treats indirect communications, such as third-party social media comments that an adviser endorses or promotes, and nonwritten communications, such as pre-recorded videos, as “advertisements,” subject to the relevant provisions of the new rule. Conversely, the Marketing Rule expressly excludes …
The SEC
Web25 mei 2024 · Top five FAQs on the new SEC marketing rule Q: Is there a de minimis amount of compensation that can be provided for promotional activities without triggering … WebThe Rule will replace the per se prohibitions of the current Advertising Rule (e.g., testimonials and past specific recommendations) with more principles-based, general … s for seria
SEC.gov Investment Adviser Marketing
Web30 sep. 2024 · Industry update SEC Division of Examinations issues risk alert on examinations and new investment adviser Marketing Rule Introduction. On September 19, 2024, the Division of Examinations (Division) issued a risk alert to inform SEC-registered investment advisers (advisers) about upcoming areas of focus for examinations relating … Web17 aug. 2024 · The SEC’s new Marketing Rule redefines advertising and allows for marketing via new channels, in addition to enhancing existing disclosure requirements, and will have significant compliance impacts on advertising and cash solicitations for investment advisers registered, or required to be registered, with the SEC. Web19 sep. 2024 · The new marketing rule, which is extensive and layered, will affect most communication between investment advisers and their investors. If fund managers have … the ultimate look durham nc