SEC Marketing Rule Archives

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 […]

SEC Marketing Rule Enforcements Appear Inevitable

News and Alerts Brief Introduction The SEC Marketing Rule has been in full effect with a compliance date of November 4th, 2022. Recently, the Investment Adviser Association (“IAA”) […]

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 […]

The Marketing Rule One Year Later

Brief Introduction to the SEC’s Marketing Rule Priorities in 2022 With the SEC Marketing Rule becoming effective November 4th, 2022, it is important to revisit […]

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 […]