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SEC Marketing Rule FAQs—New Guidance for Advisors

KL Gates Hosted Event
Date: March 2025
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The US Securities and Exchange Commission (SEC) staff published two highly anticipated FAQs that permit investment advisors to show performance-related characteristics and extracted performance on a gross basis in advertisements, subject to various conditions. In this webinar, our lawyers discussed the new FAQs and what they mean for investment advisor advertisements. 

Topics included:

  • How to implement the new Marketing Rule FAQs
  • Current trends and continuing pain points under the Marketing Rule
  • SEC enforcement and examination priorities relating to advertisements 
Find more items tagged as: Asset Management and Investment Funds
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