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Marketing Rule – Advertisement Review Checklist
Dechert's advertisement review checklist for compliance with the SEC's Marketing Rule under the Investment Advisers Act of 1940. It outlines steps to ensure advertisements by investment advisers are not misleading and meet regulatory standards.
March 05, 2025
Marketing Rule: Compliance Best Practices and Lessons Learned
This PowerPoint covers adviser ad rules, third-party content, performance metrics, disclosures, and avoiding misleading facts—practical SEC compliance guidance.
March 05, 2025
Marketing Rule – Definition of Advertisement Flow Chart
This chart from Dechert LLP outlines what types of communications can be considered as an advertisement according to the Marketing Rule for Investment adviser advertisements.
February 24, 2025
Marketing Rule Compliance: Best Practices
This PowerPoint document outlines SEC Marketing Rule guidance: IRR use, attribution, substantiation, influencer reviews, and 2024 FAQ highlights for private fund performance.
March 06, 2024
Client alert on private fund adviser performance under the marketing rule. By Stephanie Thomas, Aaron Russ, and Jeffrey Lau of Morrison Foerster.
October 31, 2023
SEC Regulation of Investment Adviser and Private Fund Advertisements Under the New Marketing Rule
This outlines the Marketing Rule’s general prohibitions, testimonials and endorsements, third-party ratings, and performance advertising.
February 28, 2023