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/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
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
Marketing Rule Outline – Eversheds Sutherland
September 01, 2022
Comments on SEC Advertisements and Solicitation Proposal
The IAA supported the SEC’s efforts to make the Advertising Rule less prescriptive, but expressed concern over the expansive definition of “advertisement” and onerous pre-approval requirements in the Advertisements Proposal. The IAA also raised concerns about the proposed expansion of the Solicitation Rule to private fund investors and recommended limiting the rule to specific types of non-cash compensation.
February 10, 2020
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