SEC New Marketing Rule Compliance Date Reminder

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SEC New Marketing Rule Compliance Date Reminder

What happened?

Reminder: As of Today, investment advisers can no longer choose to comply with previous advertising and cash solicitation rules following the Nov. 4, 2022, compliance deadline for the new Marketing Rule, rule 206(4)-1, under the Advisers Act.

The Marketing Rule is applicable to those firms registered with the SEC or required to be registered, and it must be followed for any advertising distributed in the U.S.

What does this mean for me?

If you have delayed your adoption of new policies and procedures to address this rule change, now is the time to act.  Fairview will continue to update you with in-depth information about the impact of this rule change and ongoing recommendations as the SEC’s examinations and enforcements begin applying this rule to registrants.

Fairview Investment Services provides comprehensive and ongoing compliance services, including comprehensive marketing and advertising review, solicitation-related consulting, and complete examination support. Contact us for additional information about maintaining your compliance program in an ever-changing regulatory environment.

By | 2022-11-04T14:02:08-04:00 Nov 4th, 2022|News|

About the Author:

Founded in 2005 with the goal of developing streamlined solutions for investment advisers, Fairview® is now servicing investment advisers, foundations, and funds with nearly $300 billion in collective assets.