SEC Marketing Rule Insights and Alerts

The compliance date for the new Marketing Rule has arrived.

The new 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 marketing rule compliance and assess any potential gaps.

Featured solution

Marketing Rule Compliance Assessment

Assists your firm by assessing compliance with the new Marketing Rule.

  • Review updated marketing practices, materials, and policies and procedures to evaluate compliance with the new Marketing Rule.
  • Review of performance metrics to confirm that they have been categorized appropriately under hypothetical, extracted, predecessor/portable, and related performance categories.
  • Receive a summary report identifying findings from our review and explain any enhancements needed to ensure adherence with the Marketing Rule. 

Latest insights on the SEC Marketing Rule

Our solutions

ACA can evaluate your compliance with the Marketing Rule and can help you to ensure your program is up to date. 

Assists your firm in navigating the evolving regulatory landscape while considering the complexity of your unique compliance requirements.

Marketing Rule Compliance Assessment

Assists your firm in assessing compliance with the new Marketing Rule.

Assists your firm in meeting the new requirement pertaining to marketing related performance by providing a technology solution that will conduct outlier analysis, strategy drift analytics, and scoring metrics.

Helps your marketing and legal teams easily manage workflows for submitting, reviewing, approving, and archiving marketing and advertising materials.

Allows your firm to significantly reduce the amount of time and resources devoted to the marketing and advertising review process. ACA can step in during periods of high volume or assist with enhancing collateral review workflows and protocols.

Customized Training

Provides your firm with customized trainings that cover and define many of the key definitions within the new Marketing Rule.

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On demand webcasts

Get Ready to Comply: SEC Marketing Rule Preparation Timeline

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.

Webcast

FAQs: Amendments to the Marketing & Advertising Rule

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.

Webcast

The New Marketing Rule: A Focus on Performance

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.

Webcast