Series 65: Appendix C: New Investment Adviser Marketing Rule

Taken from our Series 65 Online Guide

Appendix C

New Investment Adviser Marketing Rule

Unless you were born into a well-connected family, clients won’t just fall into your lap. You’re going to have to advertise yourself to make a living. The SEC's Marketing Rule sets the standards for federal covered advisers' marketing communications.

SEC Rule 206(4)-1

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Since you're reading about Series 65: Appendix C: New Investment Adviser Marketing Rule, you might also be interested in:

Series 66 - Regulation of Agents of Broker-Dealers and Agents of Issuers

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