On Demand

Out with the Old, In with the New: SEC's Amended Marketing Rule for Investment Advisers

1h 2m

Created on October 12, 2021




The SEC has approved comprehensive amendments to Rules 206(4)-1 (the "Advertising Rule") and 206(4)-3 (the "Cash Solicitation Rule") under the Investment Advisers Act of 1940. These amendments will have a significant impact on investment adviser marketing and solicitor relationships. Our panelists, Issa Hanna and Bria Adams of Eversheds Sutherland (US) LLP, will examine the rule amendments, compliance challenges under the new regime, as well as some of the major changes to current practices.

Learning Objectives: 

  1. Review the consolidation of the advertising and solicitation rules into a single marketing rule

  2. Explore the scope of the marketing rule, and how it differs from the prior rules

  3. Discuss the general content standards, the use of testimonials, endorsements, third-party ratings and performance presentations, and conforming amendments to Form ADV and Rule 204-2 (the "Books and Records Rule")

  4. Point out some of the challenges and practical compliance considerations legal and compliance professionals may face under the marketing rule

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