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Explaining the SEC's Marketing Rule

We examine whether the new rule is as complex as many are saying.

Jennie Clarke

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Photo: Getty Images
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The SEC’s Marketing Rule came into force on November 4, 2022, after a nail-biting 18-month transition period. Rumor has it the regulator will be undertaking thematic reviews imminently to establish compliance.

This is not spurious industry rumor, but a firm commitment, cemented by a September 19 Risk Alert from the

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