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Top Questions Answered About the SEC's Marketing Rule

Advisers continue to be confused about the Marketing Rule’s requirements. Download our FAQs for answers to some of the most popular questions about the new rule.

The Securities and Exchange Commission's (SEC's) new Marketing Rule comes into force on November 4, 2022, but there is still a lot of confusion around how to comply. We answer the most common questions we've been asked about compliance with the rule.

Topics covered:

  • Testimonials and endorsements
  • Questions specific to private equity and hedge fund managers
  • Questions applicable for all advisers
  • Performance
  • Risks and benefits disclosure
  • Additional resources