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SEC Marketing Rule: Implications for news releases that promote third-party ratings and rankings

The window of time for SEC-registered investment advisors to conform to the new SEC Marketing Rule is drawing to a close. The new regulation became effective in May 2021 with an 18-month transitional period for RIAs to modify their compliance practices prior to enforcement. Starting Nov. 4, the SEC requires adherence to the new rules. Here we focus on [...]

By Benjamin Bishop|2023-03-02T10:41:50-06:0008/03/2022|

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SEC Marketing Rule: Implications for news releases that promote third-party ratings and rankings

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