Marketing Rule Archives

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 […]

9 Marketing Rule Violations | SEC Charges

SEC Releases Brief Introduction On September 11th, the SEC announced charges against nine Registered Investment Advisers (“RIAs”) for violations of the Marketing Rule. All involved Firms had violations involving […]

First SEC Enforcement Related to Marketing Rule | Chuck Martin Reacts

Vigilant Insights Brief Introduction On Monday, August 21st, the SEC released its first enforcement action related to the new Marketing Rule. A New York based FinTech Investment […]

Marketing Rule Risk Alert | Donna DiMaria Reacts (ETF Express)

Vigilant Insights Vigilant’s own, Donna DiMaria, was spotlighted by ETF Express providing insights on the recent SEC Risk Alert on the Marketing Rule. As someone who has been heavily involved in the […]

New SEC Risk Alert on the Marketing Rule

SEC Releases Brief Introduction In an increasingly aggressive regulatory environment, many compliance professionals are erring on the side of caution when interacting with the new Marketing […]

SEC Updates Marketing Rule FAQs

SEC Releases On January 11th, the SEC released updated Marketing Rule FAQs. See below for key takeaways. Key Takeaways from the SEC Gross and Net […]

7 Steps to Maintain Compliance with the Marketing Rule

Vigilant Insights Brief Introduction The New Marketing Rule goes into full effect November 4th 2022. Firms across the industry should be taking immediate action to ensure that […]

Risk Alert “Reminder” | New Marketing Rule

EXAMS Issues Risk Alert on New Investment Adviser Marketing Rule Brief Introduction On Monday, September 19th, the Division of Examinations (“EXAMS”), released a Risk Alert towards upcoming review […]

Vigilant’s COO, Chuck Martin, Presented on the Marketing Rule at the 2022 PMAR Conference

At this year’s 2022 PMAR Conference hosted by The Spaulding Group, Vigilant’s Chief Operating Officer, Chuck Martin, and K&L Gates Of Council, Pamela Grossetti, presented on the SEC Marketing […]

EXAMS Issues Reminder For The Marketing Rule Compliance Date

Brief Introduction On Monday, May 23rd, the Division of Examinations (“EXAMS”), sent out an email reminder to all SEC RIAs reminding them about the compliance date for […]

Vigilant Marketing Rule Survey Results

Marketing Rule Industry Results Thank you to everyone that took the time to fill out our Marketing Rule Survey! Below are Key Takeaways from the Results we […]