The US Securities and Exchange Commission (SEC) recently released two new sources of guidance for the Marketing Rule. On February 26, the SEC Division of Investment Management released an FAQ ...

In anticipated amendments to guidance on the Securities and Exchange Commission’s marketing rule, the regulator’s Division of Investment Management has lightened the burden for registered investment ...

The eClerx Marketing Report 2026 exposes the activation gap blocking martech spend from generating business results, and offers best practices to close it ...

In the fall, it will be two years since the compliance deadline for the SEC Marketing Rule for investment management firms, but how are firms ensuring that they stay within the rules? A new report ...

The SEC's newly unveiled guidelines around its Marketing Rule may prove to be a mixed blessing for investment advisors, as some of the brighter lines it draws may leave certain registrants offside and ...

For CMOs specifically and marketers generally, determining where, when, and how to make marketing investments remains both art and science, even in our increasingly data-driven world. As marketers, we ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

Among the seven general prohibitions set forth in Rule 206(4)-1(a) of the Marketing Rule are the prohibitions on including an untrue statement of material fact in an advertisement and including ...

Adam Hayes, Ph.D., CFA, is a financial writer with 15+ years Wall Street experience as a derivatives trader. Besides his extensive derivative trading expertise, Adam is an expert in economics and ...