A guide to the SEC's new Marketing Rule


In December 2020, the SEC adopted amendments to rules governing investment adviser marketing. The new marketing rule, which took effect on November 4, replaces the existing advertising and cash solicitation rules.

To help our clients navigate the substantive requirements of the new rule, IQ-EQ has developed a comprehensive reference guide.

The guide makes it easier to find information on the rule’s application to an adviser’s marketing activities, with examples and tips. The guide also addresses many questions, including:

  • Are advisers required to provide net performance for individual positions within a portfolio or fund?
  • Do the permissible uses of testimonials, endorsements, websites and social media under the new marketing rule create an exemption from the general solicitation prohibitions related to privately offered securities?
  • What activities are covered and what activities are not covered by the new marketing rule?

For guidance on these and many other issues, please click on the link below to receive a free copy of our guide:

Download the guide

If you would like additional assistance related to the new marketing rule or have any other compliance needs, please reach out to us.