United States: New Year, New Marketing Rule FAQs
By: Lance C. Dial, Jennifer L. Klass, and Pablo J. Man
On 15 January 2026, the SEC staff released two new FAQs addressing issues arising under Advisers Act Rule 206(4)-1 (the Marketing Rule). These FAQs provide important, if technical, guidance to advisers on key provisions of the Marketing Rule and show continued Staff willingness to issue guidance in the form of FAQs.
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