Bates Compliance works with RIAs to evaluate the types of marketing the firm engages in and to review various marketing materials for compliance with the SEC’s marketing and advertising rule. We have also produced additional resources to help clients and firms understand and navigate implementation of the rule.

Marketing Rule Resources:

Alert - 04/06/23 - SEC Exams Division Issues Risk Alert for Newly Registered Advisers on Compliance Deficiencies and Guidance to Address

Article - 02/21/23 - SEC 2023 Exam Priorities Comparison Chart and Summary

Alert - 10/04/22 - With Nov. 4 Deadline Approaching, SEC Announces New Marketing Rule Exam Initiatives and Areas of Review

Article - 08/02/22 - The SEC Marketing Rule - What You Need to Know

Article - 12/21/21 - The SEC’s New Marketing Rule - Webinar Takeaways

On-Demand Webinar - 09/09/21 - Deconstructing the SEC’s New Marketing (and Solicitor) Rule

Alert - 04/05/21 - Update on New SEC Marketing Rule: It’s All or Nothing

Article - 01/08/21 - SEC Rewrites Rules on Investment Adviser Marketing

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