Published on Jan 27th, 2021 |

On December 22, 2020, the SEC adopted a Modernized Marketing Rule for Investment Advisers. This new rule was a much anticipated update, as it will bring current marketing requirements of the Adviser’s Act into the 21st century. This updates the current rule to meet the technological changes that have occurred since the Adviser’s Act was first adopted.

To learn more about the specifics of the Marketing Rule and Vigilant’s initial takeaways click HERE.

Since the SEC Released its New Marketing Rule, many RIAs have a lot of questions regarding it. The thought leaders at Vigilant created a simple two page summary guide to breakdown the new Rule for YOU.

Click HERE to download Vigilant’s Guide on the New Marketing Rule. 

 

Below are key takeaways from Vigilant’s Guidance regarding the Marketing Rule:
  • Advertising practices the Marketing Rule prohibits
  • What the Marketing Rule prohibits in the use of testimonials and endorsements in an advertisement
  • What Investment Advisers will have to disclose for Third-Party Ratings
  • All prohibitions towards performance advertising
  • Amendments to the Book and Records Rule and Form ADV