Originally published in 2022
In this video, I speak with Chris Stanley of Beach Street Legal about the amendments to the advertising and cash solicitation rules, along with updates to other requirements for registered investment advisers.
The formerly separated rules are now combined under the new Marketing Rule, Rule 206(4)-1 of the Advisers Act, with a compliance date of November 4, 2022.
If you are a Chief Compliance Officer or Chief Executive Officer of your RIA and want to ensure your firm is set up for success around these amendments, you don't want to miss this interview in which we discuss:
1) How to best use testimonials and endorsements with new SEC marketing rule
2) What disclosures need to be made with new SEC marketing rules
3) Can you give referral fee to clients?
4) How you can maximize the rule for your practice, including on social media like Linkedin
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In this article we talk about:
Marketing agency
Marketing company
SEC marketing rules
Advertising rules
Allowed words and phrases by the SEC
GPS Compliance for registered investment advisors marketing allowance