SEC IA Ad Rule

A new SEC investment adviser advertising rule is now in place. The new rule opens the gates to a wider use of social media by advisers, permits the use of testimonials and endorsements, sets requirements around disclosures and establishes standards when using performance or hypothetical advertising, among other changes. The new rule affects private fund advisers as well.

This editorial tent-pole collects in one place all that you’ll need to comply with the new rule.

LATEST SEC IA AD RULE COVERAGE

Overstating advertised trade volume charged

Firm overstated trade volume in 3,300 instances by 446 million shares over a three-year period

New marketing rule FAQs analyzed

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New SEC Marketing Rule FAQs, March 2025

These are two new FAQs released by the SEC in 2025 dealing with extracted performance and portfolio characteristics

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