Requirements ยท Financial services
SEC Marketing Rule (Rule 206(4)-1)
2 Moraph products list it under “Requirements it supports”. The products support this requirement; meeting it remains your organization’s responsibility.
About the rule
What it is
The SEC Marketing Rule, Rule 206(4)-1 under the Investment Advisers Act of 1940, governs advertisements by investment advisers registered with the Securities and Exchange Commission. Adopted in December 2020, it prohibits misleading statements and sets conditions for testimonials, endorsements, third-party ratings and the presentation of performance.
Source: 17 CFR 275.206(4)-1 (eCFR). This summary is for orientation only; read the rule itself or ask your counsel for what it requires of you.
Citations
How the products cite it
The exact wording on the product pages, with how many products use each.
- SEC Marketing Rule (17 CFR 275.206(4)-1), for illustrations shared by investment advisers 1 product
- SEC Marketing Rule (Rule 206(4)-1 under the Investment Advisers Act), for registered advisers 1 product
For what it requires of your organization, read the rule itself or ask your counsel.
Products
The 2 products that support it
Marketing Automation
Governed campaigns configured to support CAN-SPAM opt-out and GDPR consent requirements. Content approval and compliance review remain your institution's.
Lists:
- SEC Marketing Rule (Rule 206(4)-1 under the Investment Advisers Act), for registered advisers
Wealth Transfer & Estate Visualization
Visual mapping tool for complex trust structures (GRATs/CLATs) and tax modeling for high-net-worth families.
Lists:
- SEC Marketing Rule (17 CFR 275.206(4)-1), for illustrations shared by investment advisers
Not sure which requirements apply to you? Request a gap analysis. All requirements: Requirements our products support.