SEC Marketing Content Analysis38
17 CFR § 275.204-2(a)(11) · 17 CFR § 275.206(4)-1(a) · 17 CFR § 275.206(4)-1(a); SEC Staff Guidance · 17 CFR § 275.206(4)-1(a)(2) · 17 CFR § 275.206(4)-1(a)(3) · 17 CFR § 275.206(4)-1(a)(5) · 17 CFR § 275.206(4)-1(b)(1) · 17 CFR § 275.206(4)-1(b)(1)(i) · 17 CFR § 275.206(4)-1(b)(1)(i)(B) · 17 CFR § 275.206(4)-1(b)(1)(ii) · 17 CFR § 275.206(4)-1(b)(3) · 17 CFR § 275.206(4)-1(c) · 17 CFR § 275.206(4)-1(d) · 17 CFR § 275.206(4)-1(d)(1) · 17 CFR § 275.206(4)-1(d)(2) · 17 CFR § 275.206(4)-1(d)(3) · 17 CFR § 275.206(4)-1(d)(4) · 17 CFR § 275.206(4)-1(d)(5) · 17 CFR § 275.206(4)-1(e)(1) · 17 CFR § 275.206(4)-7 · 17 CFR § 275.206(4)-7; 17 CFR § 275.206(4)-1 · Form ADV Part 1A, Item 5; Part 2A, Item 14 · SEC
Requirements in this framework
- Adviser Oversight of Testimonials and Endorsements
- AI and Technology Claims in Marketing
- Annual Review of Marketing Compliance
- Approval, dissemination, and archive linkage
- Books and records retention
- Case Study and Specific Investment Advice Presentation
- Compensated testimonial disclosure controls
- Definition of Advertisement
- Endorsements Requirements
- Extracted Performance Requirements
- Fair and Balanced Risk Disclosure
- Form ADV Marketing Disclosures
- General Prohibitions on Misleading Advertising
- Gross and net performance presentation controls
- Hypothetical performance governance
- Hypothetical Performance Restrictions
- Ineligible Persons for Testimonials and Endorsements
- Marketing Compliance Policies and Procedures
- Marketing Recordkeeping Requirements
- Marketing rule anti-fraud standards
- Net Performance Calculation Standards
- Performance advertising controls
- Performance Advertising General Requirements
- Performance Portability Standards
- Performance Time Period Presentation
- Predecessor Performance Requirements
- Private Fund Performance Standards
- Promoter Compensation Disclosure
- Related Performance Presentation
- Substantiation file requirements for material claims
- Substantiation of Material Claims
- Testimonials and endorsements compliance
- Testimonials Requirements
- Third-party rating due diligence
- Third-party ratings governance
- Third-Party Ratings Requirements
- Time-period and benchmark consistency controls
- Written Agreements with Promoters