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.
The New Marketing Rule for Investment Advisers
September 20, 2021
IAA Shares Regulatory Priorities with new SEC Chairman Atkins
The IAA has submitted a letter to SEC Chairman Atkins outlining the IAA’s regulatory priorities.
May 02, 2025
IAA Letter to SEC Chairman Atkins
IAA letter to SEC Chairman Atkins outlining the IAA’s regulatory priorities.
May 01, 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
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
SEC Issues Marketing Rule Relief in Response to IAA Advocacy
In response to IAA advocacy, the SEC Division of Investment Management staff issued new FAQs that address net performance questions under the Marketing Rule.
March 20, 2025
Marketing Rule Compliance Checklist
To help members stay compliant with the Marketing Rule, the IAA has created a Marketing Rule Checklist – an interactive guide to help advisers implement marketing efforts at their firm. Among other important information, this checklist identifies key areas to consider and provides suggestions for complying with the rule.
January 09, 2023
Marketing & Advertising Checklist – K&L Gates
October 21, 2022
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