Marketing Rule Reference Materials

July 7, 2021

New Rule (final version):   Investment Adviser Marketing, SEC Rel. IA-5653 (officially published in the Federal Register on March 5, 2021. The rule became effective on May 4, 2021 and has a compliance deadline of November 4, 2022.)

Law Firm Materials and Presentations:

    Eversheds--during the winter of 2021, Eversheds did a fine job presenting several discussions of the rule and its various components, reflected in the videos, slide decks,and other materials presented in the links below.

   K&L Gates--similarly, K&L Gates, offered fine educational presentations  of the rule and its various components, reflected in the videos, slide decks,and other materials presented in the links below.

   Stradley Ronan--published a lengthy (87page) white paper on the topic

   Sidley Austin--similarly Sidley's attorneys published a 13 page article on the rule

   Dechert--also published material on the rule

   Vigilant Compliance---published a handy, short "Snap Shot" overview of the rule

 

 

(updated July 7, 2021 by KOH)