SEC Staff Publishes First FAQ Regarding New Marketing Rule
The SEC staff has published the first response to what will likely be many questions regarding the new Marketing Rule for investment advisers.
March 25, 2021
November 2022 Compliance Date Finalized for New Marketing Rule
Advisers will have an 18-month transition period after the effective date of May 4, 2021, to comply with the new Marketing Rule, meaning that they will need to be in full compliance by November 4, 2022.
March 10, 2021
Tags: Marketing Rule
The IAA has launched a number of initiatives that explain and explore the Marketing Rule, including the new opportunities it creates and the requirements it imposes.
February 24, 2021
Tags: Advertising Rule, Marketing Rule
New Rule Questions? Join the IAA’s Marketing Implementation Group!
The IAA has launched a number of initiatives to assist members with understanding and implementing the new Investment Adviser Marketing Rule – and we are encouraging interested members to join our newly created Marketing Implementation Group.
February 01, 2021
Tags: Advertising, Advertising Rule, Compliance, Marketing Rule, Workshop
Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?
How investment advisers use social media for marketing advisory services has rapidly evolved over the last 25 years.
January 27, 2021
Tags: Advertising Rule, Columns, Compliance Corner, Marketing Rule, Social Media
Biden Administration Acts Aggressively on Day 1 Regarding Regulatory Process
President Joe Biden was sworn into office on January 20, 2021, and right out of the gate issued several executive orders and presidential actions that in many cases overturned actions and policies of the Trump Administration.
January 26, 2021
Tags: Compliance, DOL, ERISA, ESG, Executive Order, Fiduciary, Marketing Rule, Proxy Voting
From the President & CEO: Welcome to 2021
Just before Christmas, the SEC voted unanimously to approve a new Investment Adviser Marketing Rule that incorporates virtually all of the key elements the IAA has pushed so long for.
January 06, 2021
Tags: Advertising Rule, Columns, From the President & CEO, Karen Barr, Marketing Rule
SEC Modernizes Advertising and Solicitation Rules
In a victory for long-term IAA advocacy, the SEC has voted unanimously to adopt significant amendments to the marketing rules for investment advisers.
December 23, 2020
SEC Obtains $30 Million Judgment Against Adviser, Founder in Connection with Misleading Performance
A federal court has ordered a Nevada-based investment adviser to pay over $30 million.
June 10, 2020