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Whatever happens to the SEC rules, the trade group hopes the industry can unite to raise the floor on transparency.
'Scary' case should worry small- and midsized managers, expert says.
PFCFO Insights SEC marketing rule
Frustration is building among CFOs as they attempt to navigate the new marketing rules with limited guidance from the SEC.
Legal and law concept
‘Each part of the rule is unnecessary, unworkable, and unduly burdensome,’ lawyers say in opening brief.
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‘Quality controls and audit standards are necessary to maintaining this essential gatekeeping role,’ SEC says in fifth ‘gatekeeper’ case in two years.
US Securities and Exchange Commission building in Washington DC
The notice puts the industry on the clock.
SEC enforcements pick up before end of fiscal year.
Regulators are focused on prior deficiencies, discipline, leadership changes and ‘market stresses.'
The commission's new rules are softer than the original proposal, but still impose rigid disclosures on exempt advisers.

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