RIA Compliance and Practice Management Blog

RIA in a Box Releases New SEC Marketing Rule Module on MyRIACompliance

Posted by RIA in a Box

May 11, 2021 12:41:33 PM

new RIA marketing rule software compliance

We are excited to announce our new Securities and Exchange Commission's ("SEC") Marketing Rule module as an enhancement to our industry leading MyRIACompliance® software platform. The new enhancement was created in response to the SEC’s amended Rule 206(4)-1, under the Advisers Act, which addresses registered investment adviser ("RIA") firms marketing their services to clients and investors (“The Marketing Rule”). This Marketing Rule amends the existing Rule 206(4)-1 (“The Advertising Rule”) and also replaces Rule 206(4)-3 (“The Solicitation Rule”).

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MyRIACompliance supervisor users can view the SEC New Marketing Rule 206(4)-1 page in the Regulatory section. SEC-registered RIA firms will also be prompted with a calendar item in the MyRIACompliance platform pertaining to the new rule.

SEC marketing rule new policies and procedures

RIA in a Box developed the page for SEC-registered RIA firms with the following objectives:

  1. To be an informative resource for The Marketing Rule.
    1. Users can view our webinar and blogs which help break down the 430-page rule release into the key components related to compliance.
  2. To provide valuable tools and guidance on how to comply with The Marketing Rule.
    1. Supervisor users will have access to customized policies and procedures updated with the applicable marketing rule content to incorporate into their current manuals.
    2. Firms will be prompted to visit the “ADV Changes” page to request any necessary changes related to marketing activities.

The new SEC Marketing Rule Page, paired with our experienced team enables RIAs to navigate through the complexities of the new rule and effectively implement new polices and procedures as they begin to comply with the new rule.

As a reminder, the new SEC RIA Marketing Rule was officially published in the Federal Register on March 5, 2021. The rule became effective on May 4, 2021 and has a compliance deadline of November 4, 2022.

At RIA in a Box, it’s our mission to continuously innovate and enhance the MyRIACompliance experience to   provide our clients with solutions to improve their operational efficiencies in an evolving regulatory landscape.

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Topics: RIA Operations, RIA Compliance, RIA Technology

RIA in a Box LLC is not a law firm, investment advisory firm, or CPA firm. RIA in a Box LLC does not provide legal advice or opinions to any party or client. You should always consult your relevant regulatory authorities or legal counsel if applicable.

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