SEC Investment Adviser Marketing Rule - Enforcement, Guidance & Compliance Reference

Structured reference dataset covering the SEC Marketing Rule (Rule 206(4)-1) for investment advisers. Includes enforcement actions with firm-level penalty data, staff FAQ guidance on performance advertising, extracted performance, testimonials/endorsements, and model fees. Machine-readable JSONL format optimized for RAG retrieval, compliance automation, and regulatory research.

TEXT_ASSET JSONL FINANCIAL Rights attested

SEC marketing-rule investment-adviser compliance enforcement Rule-206(4)-1 regulatory-guidance RAG

Pricing

Price	$5.00
Processing fee (2.9% + $0.30)	$0.44
Delivery fee	$0.00
Buyer total	$5.44

15% commission ($0.75) deducted from price. Seller receives $4.25.

Intended Uses

compliance monitoring
marketing review automation
regulatory research
investment adviser due diligence
RAG knowledge base for SEC marketing rule queries

Quality Evaluation

Dimension	Score
Composite	89/100
Completeness	90/100
Consistency	85/100
Schema Validity	100/100
Freshness	70/100
Rights Declaration	100/100
Usability	80/100
Passed Gate	Yes
Evaluated	2026-04-13

Provenance

Published2026-04-12

Versionv1.0

Sourcehttps://www.sec.gov/rules/final/2020/ia-5653.pdf

CitationSEC Marketing Rule Reference Dataset v1.0, compiled by The Lapidary from SEC public sources (2020-2026).

Usage Restrictions

Not a substitute for legal advice
Compiled from public SEC sources