Regulatory Alerts2021-03-05 | 2020-28868Added · Updated
Investment Adviser Marketing
The Securities and Exchange Commission adopted a final rule merging the existing advertising and cash solicitation regulations into a single marketing rule for investment advisers. This new framework establishes general prohibitions against misleading statements and imposes specific conditions on testimonials, endorsements, third-party ratings, and performance advertising. The Commission also amended Form ADV and the books and records rule to enhance oversight of advisers' marketing practices and ensure investor protection.
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