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Get Ready for the New SEC Marketing Rule
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Get Ready for the New SEC Marketing Rule Akshay Singh September 13, 2022 3 min read The new SEC marketing rule came into effect on May 4, 2021, and RIAs must come into compliance by November 4, 2022. The regulations change the way that investment advisers handle their marketing efforts. The most radical shift is the ability to include testimonials, ratings, and endorsements in advertising. The new marketing rule responds to the need to update the last SEC marketing regulations from 1961. Since that year, most financial advisers have switched to digital tools like websites and emails for client care and marketing communications. The Impact of the New Marketing Rule on State Regi...
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