Transcription of Final Rule: Investment Adviser Marketing - SEC.gov
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Final Rule: Investment Adviser Marketing - SEC.gov
Conformed to Federal Register Version SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 275 and 279 [Release No. IA-5653; File No. S7-21-19] RIN: 3235-AM08 Investment Adviser Marketing AGENCY: Securities and Exchange Commission. ACTION: Final rule. SUMMARY: The Securities and Exchange Commission (the Commission or the SEC ) is adopting amendments under the Investment Advisers Act of 1940 (the Advisers Act or the Act ) to update rules that govern Investment Adviser Marketing . The amendments will create a merged rule that will replace both the current advertising and cash solicitation rules. These amendments reflect market developments and regulatory changes since the advertising rule s adoption in 1961 and the cash solicitation rule s adoption in 1979.
rules still exist today, but investment adviser marketing has evolved with advances in technology. In the decades since the adoption of both the advertising and solicitation rules, the use of the internet, mobile applications, and social media has become an integral part of business communications.
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