Web20 Sep 2024 · By Nov. 4, 2024 (the “Compliance Date”), registered investment advisers (“RIAs”) must comply with the requirements of amended Rule 206(4)-1 (the “Amended … Web18 Jan 2024 · The staff (“Staff”) of the SEC’s Division of Investment Management recently issued an FAQ (the “FAQ”) to clarify that, under Rule 206(4)-1 (the “Marketing Rule”) of the …
Performance Advertising and the New SEC Marketing Rule - Joot
Web2 Nov 2024 · The risk alert restated the SEC’s guidance from the Marketing Rule’s adopting release that “for ... Examinations also stated that it will review whether Advisers are in compliance with the Marketing Rule’s detailed performance advertising requirements, including the prohibitions on use of the following performance-related information in ... Web23 Sep 2024 · The compliance date for the SEC’s new investment adviser Marketing Rule is November 4, 2024, allowing just over a month for an investment adviser to finalize its implementation process to comply with the Rule, which applies to activities formerly covered by the advertising rule and the cash solicitation rule. [1] pedigree canned dog food recall 2017
SEC Adopts Modernized Investment Adviser Marketing Rule …
Web30 Sep 2024 · The Nov. 4 deadline is rapidly approaching for the U.S. Securities and Exchange Commission’s (SEC) new Marketing Rule for Registered Investment … Web1 Nov 2024 · Evaluate documents and confirm that Net Performance is presented either “side-by-side with gross or with equal prominence Determine whether the performance … Web16 Oct 2024 · With the SEC’s new marketing rule, timelines for the presentation of performance are standardized, with 1-year, 5-year, and 10-year return periods. If those time periods aren’t available, advisors must also show performance results of the total portfolio from the portfolio’s inception. pedigree chart creator