Based on member feedback, we are in the process of redesigning our Resource Center, as well as working on an improved search feature. In the meantime, if you need assistance finding a resource or would like to discuss an issue with a member of the legal team, please contact us at IAALegalTeam@investmentadviser.org.
IAA Letter to SEC Chairman Atkins
IAA letter to SEC Chairman Atkins outlining the IAA’s regulatory priorities.
May 01, 2025
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
IAA/CFA Institute Survey Report on SEC Marketing Rule Compliance
The CFA Institute United States Investment Performance Committee (USIPC) and the Investment Adviser Association (IAA) conducted a survey to identify current practices for complying with the performance requirements of the Marketing Rule.
August 08, 2024
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
October 2023 Sample Examination Letter – Boston – Marketing Rule and ESG
This is a sample SEC examination letter from October 2023 from the Boston office that includes questions on the Marketing Rule and ESG investing.
October 31, 2023
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
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