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Tips for Addressing the Prohibitions Under SEC New Marketing Rule
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Tips for Addressing the Prohibitions Under SEC New Marketing Rule Indyfin September 6, 2022 2 min read The SEC marketing rule announced by the Securities and Exchange Commission (SEC) promises to significantly expand what registered investment advisors can include in their advertising materials. The SEC marketing rule was effective on May 4, 2021, and advisors and investment firms will need to come into compliance with its provisions by Nov. 2022. In addition to replacing the prior advertising and solicitation rules with a single rule that covers both, the SEC also addressed prohibitions related to client testimonials that were included in the old rules. The new rule includes seven specific prohibi...
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