Web30 Sep 2024 · Industry update SEC Division of Examinations issues risk alert on examinations and new investment adviser Marketing Rule Introduction. On September 19, 2024, the Division of Examinations (Division) issued a risk alert to inform SEC-registered investment advisers (advisers) about upcoming areas of focus for examinations relating … Web5 Jan 2024 · The Marketing Rule, amended books and records rule, and related Form ADV amendments will be effective 60 days after publication in the Federal Register. The SEC has adopted a compliance date that is 18 months after the effective date to provide a transition period to comply with the amendments. The New Marketing Rule under the Advisers Act
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Web28 Apr 2024 · On December 22, 2024, the SEC enacted the new Marketing Rule, which will have an enormous impact on Registered Investment Advisers (RIAs). The new rule will replace the prior Advertising Rule, as well as the Cash Solicitation Rule. The SEC also amended Form ADV and the Books and Records Rule to implement changes resulting … Web12 Oct 2024 · The adopting release will be published on SEC.gov and in the Federal Register. The final amendments will become effective 60 days after publication in the Federal … brent birely lutherville md yellowpages
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Web18 Jan 2024 · The SEC staff has issued an FAQ related to amended Rule 206(4)-1 under the Investment Advisers Act (the “Marketing Rule”) clarifying that the net/gross rules apply to extracted performance that may consist of returns of single investments. This addresses one of the many ambigui... Web2 Nov 2024 · On November 2, AIMA will host a webinar to launch its Implementation Guide to the SEC’s modernized Marketing Rule. The guide was produced with the assistance of AIMA partners ACA Group and Dechert LLP, drawing on their expertise in investment advisory consulting and legal representation. Unlike a traditional manual to memorialize … Web22 Jan 2024 · The New Marketing Rule replaces the legacy rules under Rule 204(4)-1 with a single, integrated principles-based rule to reflect current market practices, including the pervasive use of technology and electronic communications, in the marketing of a growing number of types of advisory services. ... SEC Press Release; SEC Final Rule; BACK TO ... counters velbeth