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The New Marketing Rule and the Seven Prohibitions

August 17, 2021

Foreside’s Jaqueline Hummel, Managing Director, recently authored a piece featured in the July Edition of NSCP Currents.  This piece highlights the important changes for advisors to understand under the New Marketing Rule, becoming effective November 4, 2022.

For compliance officers, the Current Rule has been challenging to explain and difficult to manage.  Over the years, as investment advisors increased the sophistication and reach of their marketing materials, the SEC struggled to keep up.

“Clients trusting their hard-earned assets to an advisor should demand nothing less than open and honest communications.  The New Rule is aimed at holding advisors to a higher standard of truthfulness.” Jaqueline shares with readers.

Click here to read further about the better way your firm can address and work through the seven prohibitions of the New Marketing Rule.