Advisers Act Advertising Rule
Description
How to fill out Agreement By Advertising / Talent Agency To Act As A Nonexclusive Talent Agency For Performer Regarding Dancing Performances And Serving As A Model And/or Hostess At Promotional Events?
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FAQ
Bulk emails, templates, and other communications that appear to be personalized (e.g., by changing the addressee's name) are considered advertisements. To be considered an advertisement under the first prong, the communication must offer the adviser's services with regard to securities.
On 11 January 2023, the US Securities and Exchange Commission (SEC) issued an FAQ interpreting the Marketing Rule. The FAQ states that displaying the performance of one investment (e.g., a case study) or a group of investments from a private fund is considered extracted performance under the Marketing Rule.
Registered investment advisers are prohibited from including any hypothetical performance in their advertisements unless they have adopted and implemented policies and procedures reasonably designed to ensure that the hypothetical performance is relevant to the likely financial situation and investment objectives of ...
The Marketing Rule requires that any time an adviser presents gross performance data, it must also present net performance data that is reasonably comparable. Additionally, any such performance data must be presented over specified periods.
Under the Marketing Rule, which was amended in December 2020, registered investment advisers are prohibited from including any hypothetical performance in their advertisements unless they have adopted and implemented policies and procedures reasonably designed to ensure that the hypothetical performance is relevant to ...