Marketing Rule Archives

$1.2 Million in Marketing Rule Violations | 9 Firms Charged

SEC RELEASES Introduction On September 9th, 2024, the SEC announced charges against nine (9) Firms for Marketing Rule violations. The settlements amounted to $1,240,000 in […]

3 SEC Charges | Marketing Rule, Recordkeeping, and Custody Rule

SEC RELEASES Introduction September 3rd, 2024 was a busy day for SEC Enforcement. There were Recordkeeping failures amongst six Credit Rating Agencies that saw more […]

$430k Marketing Rule Fine on Hypothetical Performance

SEC RELEASES Introduction An RIA based in Washington was charged by the SEC on August 9th, 2024, for Marketing Rule Violations. The SEC continues to […]

Firms Struggling with the Marketing Rule | Will Clark Insights

VIGILANT INSIGHTS Introduction As the SEC investigates and charges Firms for Marketing Rule violations, it has been reported that Private Funds and Separately Managed Account […]

The Marketing Rule and the Public Good | Gary Gensler Takeaways

SEC RELEASES Introduction SEC Chair, Gary Gensler, recently spoke at the 11th Annual Conference on Financial Market Regulation. In his speech, he provides some insight into how the SEC leadership values accurate […]

SEC Marketing Rule Risk Alert | Thayne Gould Reacts

Vigilant Insights Introduction The SEC has sent out its third risk alert related to the Marketing Rule. With the most recent enforcement activity occurring this month, the industry is working […]

SEC Risk Alert | Marketing Rule Compliance

SEC Releases Introduction On the heels of last week’s SEC announcement of 5 RIAs being charged for Marketing Rule Violations, on Wednesday, April 17th, the Division of Examinations (the […]

SEC Marketing Rule Violations | 5 RIAs Charged

SEC Releases Introduction The SEC announced on Friday, April 12th, that they have charged five (5) Registered Investment Advisers (“RIAs”) for Marketing Rule Violations. This was focused […]

Complying with the Marketing Rule 1 Year Later | Thayne Gould Insights

Vigilant Insights Introduction It has been just over a year since the compliance date for the Marketing Rule. Since then, there have been multiple enforcements by the SEC which […]

Recent Marketing Rule Enforcements | Thayne Gould Reacts

Vigilant Insights Brief Introduction The SEC recently announced charges against nine (9) firms related to the use of hypothetical performance. These charges emphasize the SEC’s focus on marketing […]

Marketing Rule Sweeps | Bernadette Murphy Insights

Vigilant Insights Brief Introduction As the SEC continues to announce violations related to the Marketing Rule, Firms are understandably worried about their performance if they are included in an […]

Material Misstatements Lead to SEC Charge | Marketing Rule

SEC Releases Brief Introduction The SEC remains active towards the Marketing Rule and has charged another Registered Investment Adviser (“RIA”) with violations towards it. As we reach […]