Web16 Sep 2024 · The Nov. 4 compliance date for the Securities and Exchange Commission’s new Marketing Rule is fast approaching, and compliance experts warn that while firms are at various stages of compliance ... Web12 Jan 2024 · The SEC’s new Marketing Rule is a substantial amendment to Rule 206(4)-1 of the Investment Advisers Act of 1940, which sets the rules around what and how they …
The SEC
Web30 Sep 2024 · The Nov. 4 deadline is rapidly approaching for the U.S. Securities and Exchange Commission’s (SEC) new Marketing Rule for Registered Investment … Web14 Sep 2024 · The U.S. Securities and Exchange Commission’s (SEC’s) Marketing Rule was approved in December 2024 and came into effect on May 4, 2024. From that point, … do burmese pythons swim
The New SEC Marketing Rule – Guidance For CLO …
Web3 May 2024 · Prong Two of the new definition of advertisement covers promotion by third parties in the form of testimonials and endorsements. The Scope of Prong Two includes any endorsement or testimonial for which an investment adviser provides compensation, directly or indirectly. The cash solicitation rule is subsumed into this prong as solicitations or ... Web11 Mar 2024 · Advisers are at a crossroads, with the compliance date of the U.S. Securities and Exchange Commission (SEC)’s new marketing rule set for November 2024. The current advertising rule was adopted by the SEC in 1961 – 60-plus years ago – when computers were unheard of and the internet didn’t exist. Web5 Mar 2024 · On Dec. 22, 2024, the U.S. Securities and Exchange Commission unanimously voted to pass proposed amendments to the advertising and cash solicitation rules, along with updates to other requirements for registered investment advisers. The formerly separate rules are now combined under the Marketing Rule, Rule 206 (4)-1 of the … do burn bans include fireworks