BLOGS. October 14, 2022
Ensure Investment Communications Adhere to New SEC Marketing Rule
The deadline to comply with the US Securities and Exchange Commission’s (SEC) Marketing Rule is fast approaching on November 4, 2022. The new rule effectively joins formerly disparate regulations together under the Investment Advisory Act of 1940 (The ’40 Act) to govern how registered investment advisors can advertise and solicit cash—essentially all things related to attracting new clients and cross-selling new services to existing clients.
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