US Securities and Exchange Commission (SEC) Marketing Rule
A firm that claims compliance with the GIPS standards is required to comply with all applicable laws and regulations regarding the calculation and presentation of performance. Many firms that claim compliance are also SEC registrants and must comply with the SEC Marketing Rule. We have created various tools and resources to help firms comply with the Marketing Rule.
Tools
The following documents were created to help firms understand the US SEC Marketing Rule.
Webinars
The following webinars were created to help firms understand the US SEC Marketing Rule.
- Reconciling the SEC Marketing Rules to the GIPS Standards - Webinar Recording
- Reconciling the SEC Marketing Rules to the GIPS Standards - Webinar Slides (PDF)
- Composite Construction and the SEC Marketing Rule - Webinar Recording
- Composite Construction and the SEC Marketing Rule - Webinar Slides (PDF)
- SEC Marketing Rule Update with K&L Gates Webinar Recording - 2 March 2023
- SEC Marketing Rule Update with K&L Gates Webinar Slides - 2 March 2023 (PDF)
- SEC Marketing Rule Developments with K&L Gates Webinar Recording - 29 June 2023
- SEC Marketing Rule Developments with K&L Gates Webinar Slides - 29 June 2023 (PDF)
- SEC Marketing Rule Developments with K&L Gates Webinar Recording - 13 September 2023
- SEC Marketing Rule Developments with K&L Gates Webinar Slides - 13 September 2023 (PDF)