Marketing Rule Reference Materials
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.
- Overview: Jan. 13, 2021
- The new regulatory regime governing investment adviser performance presentations: Jan. 20, 2021
- Issues for dual registrants under the amended rules: Jan. 27, 2021
- The impact on private fund advisers: Feb. 10, 2021
- Solicitor relationships: Feb. 3, 2021
- Q&A: Your questions answered: March 5, 2021
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.
- Hub {for IA Advertising and Marketing materials generally)
- What You Should Know [About the New Marketing Rule]: Jan. 6, 2021 (webinar)
- Asset Management and Investment Funds Alert: [New Adviser Marketing Rule]: Jan. 20, 2021
- FAQS: Feb. 3, 2021(webinar)
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
- SEC Adopts Modernized Investment Adviser Marketing Rule Governing Advertisements and Solicitation: Dec. 24, 2020
Vigilant Compliance---published a handy, short "Snap Shot" overview of the rule
- Vigilant Snap Shot: April 26, 2021
(updated July 7, 2021 by KOH)