Advertising/Marketing

Ad rule: The benefit of an ‘evidence locker’

In a few days, the SEC will have answers from most advisers about their use of the new ad rule via several new Form ADV questions. Some believe that’s when Commission exams to gauge compliance with the new rule will begin in earnest

-

To read this article, you need to sign in.

Sign In

You should only be asked to sign in once. Not the case? Click here

New to Regulatory Compliance Watch?

Register now to read this article and more for free.

Register Now