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The Quick, 3-Step Approach to Addressing the SEC’s New Marketing Rule

September 10, 2021


In the next few months, many private fund advisors are not expected to adopt the new SEC Marketing Rule, which is intended to modernize the rules governing the advertising and cash solicitation practices of registered investment advisors.

Curtis Flippen, Senior Director at Foreside, shares with FundWise that the primary reason for procrastination given by those going that route is that the SEC will likely publish additional information around the implementation of the Marketing Rule, which came into effect in May with a compliance date of November 2022.

Click here to read the 3-step approach, which encompasses a risk assessment, updating your policies and procedures, and final vetting and training of the rules.