The compliance date for the new Marketing Rule has arrived.


Find out if your marketing program stands up to SEC scrutiny.

The new Marketing Rule was first approved on December 22, 2020 and had a compliance deadline of November 4, 2022. 

The SEC is clear that compliance with the new rule will be an exam priority.  Are you confident the updates you've made are enough?

We can help review your program for marketing rule compliance and assess any potential gaps.

Our Marketing Rule Compliance Assessment will:


Review updated marketing practices, materials, and policies and procedures to evaluate compliance with the new Marketing Rule.


Review of performance metrics to confirm that they have been categorized appropriately under hypothetical, extracted, predecessor/portable, and related performance categories.


Provide a summary report identifying findings from our review and explain any enhancements needed to ensure adherence with the Marketing Rule.

Our regulatory compliance and performance professionals are on hand to help you.

Complete the form above to connect with our team.