SEC Marketing Rule
Rule 206(4)-1 governing investment advisor marketing, effective November 2022, replacing the older Advertising and Cash Solicitation Rules.
The SEC Marketing Rule (Rule 206(4)-1) is the SEC regulation governing investment advisor marketing, effective November 2022. It replaced the older Advertising Rule and Cash Solicitation Rule. Key requirements: net-of-fees performance presentation, restrictions on hypothetical performance, disclosure requirements for testimonials and endorsements, methodology disclosure for third-party ratings, books-and-records retention for 5 years. The Marketing Rule applies to virtually all investment advisor communications: websites, blog posts, social media, sales decks, performance reports, even individual emails sent at scale. Empire325 builds compliance-first marketing programs aligned to the Marketing Rule for hedge funds, RIAs, asset managers, and private equity firms.
Related service
Full-Funnel Advertising
Paid acquisition across Meta, Google, LinkedIn, and programmatic with closed-loop revenue attribution.
Explore Full-Funnel Advertising →Related terms
Marketing Attribution
The practice of assigning credit for a conversion to specific marketing touchpoints across the customer journey.
Customer Acquisition Cost (CAC)
Total marketing and sales investment divided by new customers acquired in a period.
Customer Lifetime Value (LTV)
Total revenue (or gross profit) a single customer generates over the entire relationship.
Conversion Rate Optimization (CRO)
The systematic discipline of increasing the percentage of visitors who complete a desired action.