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SEC Updates Marketing Rule Guidance

On March 19, 2025, the SEC made two significant updates to the Marketing Rule's FAQ page. DWT discussed the SEC's recently adopted Marketing Rule (Rule 206(4)-1 under the Investment Advisers Act of 1940) in our 2024 post, and...more

Significant Changes in CFTC's Final Guidance on Listing Voluntary Carbon Credit Derivatives

The Commodity Futures Trading Commission (CFTC) released its final guidance regarding Designated Contract Markets' (DCMs) listing of voluntary carbon credit (VCC) derivative contracts for trading, marking a pivotal...more

AI for IAs: How Artificial Intelligence Will Impact Investment Advisers

The use of artificial intelligence and machine learning technology solutions ("AI") is becoming increasingly common in all industries, including the registered investment adviser ("RIA") space. A recent survey by AI platform...more

The (New) Marketing Rule: Perspectives on RIA Compliance, One Year Later

As we move further away from the one-year anniversary of the compliance date for the SEC's new Marketing Rule 206(4)(1) under the Investment Advisers Act of 1940 (the "Marketing Rule"), Registered Investment Advisers ("RIAs")...more

Investment Adviser Expectations in 2024

Like many other industries, Registered Investment Advisers ("RIAs") have dealt with significant regulatory, technological, and systemic change in recent years. Compared to FINRA-regulated entities, RIAs often face these...more

CFTC Proposes Guidance on Listing Voluntary Carbon Credit Derivative Contracts, Continuing Focus on Carbon Markets

On December 4, 2023 the CFTC issued proposed guidance regarding the listing of voluntary carbon credit ("VCC") derivative contracts ("Proposed Guidance"). The Proposed Guidance outlines factors that designated contract...more

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