SEC Provides Helpful Marketing Rule FAQ Guidance
By EsqSocial Corporation 03/04/25
On March 19, 2025, the Securities and Exchange Commission (“SEC”) updated its frequently asked questions (FAQs) relating to Rule 206(4)-1 under the Investment Advisers Act of 1940 (the “Marketing Rule”). The new FAQs permit the use of certain performance-related metrics (e.g., yield, coupon rate, contribution to return, volatility, sector or geographic returns, attribution analyses, the Sharpe ratio, the Sortino ratio, and other similar metrics) and extracted performance on a gross basis in...
By: Vedder Price