The new SEC Marketing Rule was first approved on December 22, 2020 and had a compliance deadline of November 4, 2022. The new rule is intended to modernize the framework for investment adviser advertising and replace the patchwork of cases, no-action letters and SEC staff guidance that has developed in this area since the rule was first adopted in 1961.
The SEC has made it clear that compliance with the new rule will be an exam priority. Will your marketing program hold up to SEC scrutiny?
We can help review your program for compliance with the new SEC Marketing Rule and assess any potential gaps.
Assists your firm by assessing compliance with the new Marketing Rule.
The Securities Compliance Podcast: Compliance In Context – SEC Marketing Rule Master Class Series
The compliance date for the SEC's New Marketing Rule is November 4, 2022. With 1 year to go, ACA’s team of experts have put together a suggested preparation timeline guide to help firms prepare to implement the changes necessary to comply.
Join ACA for a complimentary webcast in which we'll provide answers to the most frequently asked questions we've received in response to the new marketing rule and its implications.
Join ACA and K&L Gates for a detailed explanation of the specific performance requirements, how they differ from prior no-action letters, and what steps a firm should take now in order to be ready by the deadline.