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10.20.2025
Placement Agents and the SEC's Marketing Rule Revisited
The Securities and Exchange Commission’s (“SEC”) Marketing Rule went into full effect three years ago. The Marketing Rule applies a principles-based approach to regulating marketing and advertising by SEC-registered investment advisers (“RIAs”). A major change brought by the Marketing Rule was to include within “advertising” the solicitation activities by placement agents raising capital for private funds, thereby affixing new responsibilities on RIAs.
