Deadline: November 4, 2022!
NEW SEC Marketing Rule
Will you be ready?
On December 22, 2020, The Securities and Exchange Commission (SEC) announced the finalized reforms under the Investment Advisers Act modernizing the rules governing investment adviser advertisements and payments to solicitors. A single rule has been created, replacing the current advertising and cash solicitation rules. The new SEC marketing rule regulates marketing communications by investment advisers.
This will impact nearly all investment advisors. Is your firm ready?
The Spaulding Group can help
Below are a series of webinars, an FAQ document as well as a venn diagram to help you understand the new rule, its impact, and how to prepare.
If you need more assistance, The Spaulding Group can help. Complete the short form below to learn more.
The New SEC Marketing Rule
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A Review of the New SEC Marketing Rules
(An Article by David Spaulding, DPS, CIPM)
Q&A with Morgan, Bockius & Lewis
How will the SEC’s New Advertising Rule Affect Your Business
(a webinar with K&L Gates)
(An Article on WealthManagement.com with David Spaulding, DPS, CIPM)