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.
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.
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.
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