Fast Track to SEC Compliance

For years, investment advisors have relied on an outdated system of rules when it comes to governing advertisements, endorsements, solicitations, and other methods to expand and promote their business. On December 22, 2020, the U.S Security and Exchange Commission (SEC) adopted amendments that consolidated Rule 206(4)-1 (“Advertising Rule”) and Rule 206(4)-3 (“Solicitation Rule”) with intentions to modernize the framework for investment advisor advertising. Listen to our latest podcast with guest Jonathan Boersma, Practice Lead for GIPS and Performance Regulation at Meradia to learn everything you need to know about the new rule and how to strategically prepare your firm for compliance.