Investment Advisers, Mark Your Calendars: Effective Date Set for SEC's New Marketing Rule

The SEC’s new marketing rule for investment advisers (the “New Marketing Rule”) was published in the Federal Register today, making the effective date of the New Marketing Rule May 4, 2021.  The New Marketing Rule will replace the current advertising and cash solicitation rules for investment advisers registered or required to be registered with the SEC.  Investment advisers must be in compliance with the New Marketing Rule by November 4, 2022 (i.e., 18 months after the effective date). Please feel free to contact us if you have any questions regarding the New Marketing Rule or the regulation of investment advisers generally.

 

By the Investment Management & Broker-Dealer Team at Kilpatrick Townsend & Stockton

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