sec Archives

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|2023-04-20T03:59:50-05:0008/03/2022|

OFFICE

250 E Wisconsin Ave Ste 875Milwaukee, WI 53202
(414) 376-7240

CAREERS

Visit our Careers page for information and open internship positions. Lowe Group is an equal opportunity employer committed to equity and inclusion.

SITE MAP

The personal data collected by Lowe Group on this website, or by any other means, is collected and stored in accordance with the General Data Protection Regulation (EU) 2016/679 (“GDPR”).

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

OFFICE

CAREERS

SITE MAP

CONTACT ME

I’d like to learn more!