The Seven Deadly Marketing Rules

This table outlines the essential dos and donts based on the SEC's Marketing Rule.

The SEC adopted the Marketing Rule on December 22, 2020, amending Rule 206(4)-1 under the Investment Advisers Act of 1940. The compliance date was pushed nearly 2 years later to November 4th, 2022.
Chart: Chris HarveySource: SECGet the dataCreated with Datawrapper