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Investment Adviser Ratings

BakerHostetler

Top Ten List for Complying with the SEC's New Investment Adviser Marketing Rule

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The Marketing Rule seeks to address evolving changes in advertising and referral practices in the industry – particularly with respect to the use of the Internet, mobile applications, and social media – by providing an...more

Miller Canfield

New Investment Adviser Marketing Rules Take Effect May 4, 2021

Miller Canfield on

On December 22, 2020, the SEC adopted amended Rule 206(4)-1 under the Investment Advisers Act of 1940, updating the rules governing investment adviser marketing ("Marketing Rules"). The new Rule replaces the currently...more

UB Greensfelder LLP

The SEC’s New Marketing Rule: Bringing Investment Adviser Advertising From The “Mad Men” Era To The Amazon Age

UB Greensfelder LLP on

“The SEC score(s) one for the digital age.” These are the words of SEC Commissioner Heist, though, not my own. After a nearly year-long comment period, the SEC announced last week that it was replacing its former advertising...more

Dechert LLP

SEC Issues Guidance Update on Social Media Commentary in Investment Adviser Advertising

Dechert LLP on

The staff of the Division of Investment Management (Staff) of the Securities and Exchange Commission (SEC) has issued an IM Guidance Update (Guidance Update) on the use of social media in investment adviser advertising. The...more

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