In December 2020, the SEC adopted a modernized marketing and solicitation rule for RIAs. The new rule offers principles-based provisions designed to accommodate the continual evolution and interplay of technology and advice, and includes tailored requirements for certain types of advertisements.
This amended rule replaces an outdated and patchwork regime applied to RIAs for decades. The new rule levels the playing field with BDs and increases opportunities for content marketing by RIAs. For example, the modernized marketing rule will impact how investment advisers present testimonials, endorsements, third-party rankings and disclosure of performance information.
In this webinar, Keith Marks, Executive Director and Korrine Kohm, Director at Compliance Solutions Strategies, will help RIAs plan and achieve compliance with the new marketing rule, opening the door to new marketing opportunities.