THEATRES Web Results

Marketing Compliance - Frequently Asked Questions - SEC.gov The marketing rule does not define “performance” and, as a result, investment advisers may need to determine whether certain portfolio or investment characteristics (“characteristics”) are performance under the marketing rule.

SEC Marketing Rule: What Your Performance Reports Must Show The SEC Marketing Rule: What Your Performance Reports Must Include Rule 206 (4)-1 under the Advisers Act governs how SEC-registered investment advisers advertise, including every number in a performance presentation.

Investment Adviser Marketing - SEC.gov What are the recordkeeping requirements associated with the marketing rule? Amended rule 204-2 includes recordkeeping requirements associated with the marketing rule. Investment advisers must make and keep copies of all advertisements they directly or indirectly disseminate.

Performance Advertising Under the SEC’s Marketing Rule Ultimately, the key point is that the SEC’s recently overhauled Marketing Rule provides a consolidated set of guidelines for advisers to understand how RIAs are permitted to use advertising.

A Guide to the Presentation of Performance Under the ... We explore these changes and provide guidance on how firms can align their performance presentations with the updated rule.

SEC's Division of Investment Management Updates Marketing ... Currently, if an adviser shows the gross performance of one or more investments in an advertisement, the rule requires the adviser to also show the net performance of such investments in the advertisement.

SEC Marketing Rule Explained for RIAs (2026 Guide) Any advertisement showing gross performance must show net performance with at least equal prominence, and most performance must cover 1-, 5-, and 10-year periods.