SEC Marketing Rule: Latest Developments and Practical Solutions

Five years after the adoption of the SEC Marketing Rule and three years after its compliance date, many investment advisers continue to face challenges reconciling the requirements of the rule with market practices and client expectations. CFA Institute and Dechert LLP are partnering to discuss the staff’s most recent investment performance FAQ and explore practical solutions to your Marketing Rule challenges. Dechert partners Michael McGrath, CFA, Robert Shapiro and Lindsay Grossman will be joined by Scott Jameson, Senior Counsel in the Chief Counsel’s Office of the U.S. SEC’s Division of Investment Management, and Ken Robinson, Director, Global Industry Standards at CFA Institute to address the following topics:

• Calculating and presenting net performance after the staff’s January 2026 FAQ on the use of model fees
• Identifying hypothetical performance and managing expectations for its us
• Expert Q&A

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