FAQs: Top Questions Answered About the SEC's Marketing Rule

The Securities and Exchange Commission's (SEC's) new Marketing Rule comes into force on November 4, 2022, but advisers continue to be confused about the rule’s requirements. Download our FAQs for answers to the most common questions we've been asked about compliance with the Marketing Rule.

Topics covered:

• Testimonials and endorsements
• Questions specific to private equity and hedge fund managers
• Questions applicable for all advisers
• Performance
• Risks and benefits disclosure
• Additional resources

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How we help

ACA is your go-to-partner for compliance, performance, and technology to help your firm implement changes, review policies and materials, and manage your marketing review process to comply with the SEC’s new Marketing Rule.

Our Marketing Rule Gap Analysis can help you assess the gaps between your firm’s current marketing and advertising practices and the new Marketing Rule. This service includes:

• Customized training covers and defines many of the key definitions and notable changes.
• Review marketing practices, materials, and policies and procedures to identify areas that may require changes.
• Review and classify performance metrics under hypothetical, extracted, predecessor/portable, and related performance categories.
• Receive a summary report and project plan for implementing the new rule.

We can also assist firms that have already identified gaps and are looking for assistance in implementing applicable changes.

If you have any questions about the new Marketing Rule or how we can help your firm prepare to implement the new rule, please reach out to your ACA consultant or contact us.